Filing Details
- Accession Number:
- 0000929638-20-000719
- Form Type:
- 13G Filing
- Publication Date:
- 2020-07-07 16:04:24
- Filed By:
- Lind Global Macro Fund Lp
- Company:
- Aeterna Zentaris Inc (NASDAQ:AEZS)
- Filing Date:
- 2020-07-07
- SEC Url:
- 13G Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Lind Global Macro Fund | 4,091,889 | 0 | 4,091,889 | 0 | 4,091,889 | 9.9% |
| Lind Global Partners | 4,091,889 | 0 | 4,091,889 | 0 | 4,091,889 | 9.9% |
| Jeff Easton | 4,091,889 | 0 | 4,091,889 | 0 | 4,091,889 | 9.9% |
Filing
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
| SCHEDULE 13G | ||
| Under the Securities Exchange Act of 1934 | ||
| (Amendment No. __)* |
| Aeterna Zentaris Inc. | ||
| (Name of Issuer) |
| Common Shares, no par value per share. | ||
| (Title of Class of Securities) |
| 007975402 | ||
| (CUSIP Number) |
| July 2, 2020 | ||
| (Date of Event which Requires Filing of this Statement) |
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[ ] Rule
13d-1(b)
[x] Rule
13d-1(c)
[ ] Rule
13d-1(d)
___________________________________
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any
subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934
(“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| 1 | Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Lind Global Macro Fund, LP |
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) |
| (a) [ ] | |
| (b) [x] | |
| 3 | SEC Use Only |
| 4 | Citizenship or Place of Organization. Delaware |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 Sole Voting Power 4,091,889 |
| 6 Shared Voting Power 0 | |
| 7 Sole Dispositive Power 4,091,889 | |
| 8 Shared Dispositive Power 0 |
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person 4,091,889(1) | |
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) | |
| 11 | Percent of Class Represented by Amount in Row (9)* 9.9%(2) | |
| 12 | Type of Reporting Person (See Instructions) PN |
(1) The reporting persons’ ownership consists of (a) 3,888,889 common shares and (b) warrants to purchase 3,888,889 common shares (the “Warrants”), however, due to the exercise limitations of
the Warrants, the reporting persons’ beneficial ownership of the Warrants is currently limited to 203,000 Warrants.
(2) Each of the Warrants includes a provision limiting the holder’s ability to exercise the Warrants is such exercise would cause the holder to beneficially own greater than 9.99% of the
Company.
| 1 | Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Lind Global Partners LLC |
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) |
| (a) [ ] | |
| (b) [x] | |
| 3 | SEC Use Only |
| 4 | Citizenship or Place of Organization. Delaware |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 Sole Voting Power 4,091,889 |
| 6 Shared Voting Power 0 | |
| 7 Sole Dispositive Power 4,091,889 | |
| 8 Shared Dispositive Power 0 |
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person 4,091,889(1) | |
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) | |
| 11 | Percent of Class Represented by Amount in Row (9)* 9.9%(2) | |
| 12 | Type of Reporting Person (See Instructions) OO |
(1) The reporting persons’ ownership consists of (a) 3,888,889 common shares and (b) 3,888,889 Warrants, however, due to the exercise limitations of the Warrants, the reporting persons’
beneficial ownership of the Warrants is currently limited to 203,000 Warrants.
(2) Each of the Warrants includes a provision limiting the holder’s ability to exercise the Warrants is such exercise would cause the holder to beneficially own greater than 9.99% of the
Company.
| 1 | Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Jeff Easton |
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) |
| (a) [ ] | |
| (b) [x] | |
| 3 | SEC Use Only |
| 4 | Citizenship or Place of Organization. United States |
| Number of Shares Beneficially Owned by Each Reporting Person With | 5 Sole Voting Power 4,091,889 |
| 6 Shared Voting Power 0 | |
| 7 Sole Dispositive Power 4,091,889 | |
| 8 Shared Dispositive Power 0 |
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person 4,091,889(1) | |
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) | |
| 11 | Percent of Class Represented by Amount in Row (9)* 9.9%(2) | |
| 12 | Type of Reporting Person (See Instructions) IN |
(1) The reporting persons’ ownership consists of (a) 3,888,889 common shares and (b) 3,888,889 Warrants, however, due to the exercise limitations of the Warrants, the reporting persons’
beneficial ownership of the Warrants is currently limited to 203,000 Warrants.
(2) Each of the Warrants includes a provision limiting the holder’s ability to exercise the Warrants is such exercise would cause the holder to beneficially own greater than 9.99% of the
Company.
| Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
Not applicable.
| Item 4. | Ownership |
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| (a) | Amount Beneficially Owned |
| See Row 9 of cover page for each Reporting Person. | |
| (b) | Percent of Class |
| See Row 11 of cover page for each Reporting Person. |
| (c) | Number of shares as to which such person has: | |
| (i) | sole power to vote or to direct the vote | |
| See Row 5 of cover page for each Reporting Person. | ||
| (ii) | shared power to vote or to direct the vote | |
| See Row 6 of cover page for each Reporting Person. | ||
| (iii) | sole power to dispose or to direct the disposition of | |
| See Row 7 of cover page for each Reporting Person. | ||
| (iv) | shared power to dispose or to direct the disposition of | |
| See Row 8 of cover page for each Reporting Person. | ||
| Item 5. | Ownership of Five Percent or Less of a Class |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following ☐.
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
Not applicable.
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company |
Not applicable.
| Item 8. | Identification and Classification of Members of the Group |
Not Applicable.
| Item 9. | Notice of Dissolution of Group |
Not Applicable.
| Item 10. | Certification |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with
the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
Exhibits Exhibit
99.1
Joint Filing Agreement by and among the Reporting Persons.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
July 7, 2020
| LIND GLOBAL MACRO FUND, LP | ||
| By: | | Lind Global Partners LLC |
| | its General Partner | |
| By: | | /s/ Jeff Easton |
| Name: | | Jeff Easton |
| Title: | | Managing Member |
| LIND GLOBAL PARTNERS LLC | ||
| By: | | /s/ Jeff Easton |
| Name: | | Jeff Easton |
| Title: | | Managing Member |
| JEFF EASTON | ||
| By: | | /s/ Jeff Easton |
| Name: | | Jeff Easton |