Filing Details
- Accession Number:
- 0000905148-21-000160
- Form Type:
- 13D Filing
- Publication Date:
- 2021-02-10 16:30:23
- Filed By:
- Sharman Tanya Schuler
- Company:
- Aspira Women's Health Inc. (NASDAQ:AWH)
- Filing Date:
- 2021-02-10
- SEC Url:
- 13D 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 |
|---|---|---|---|---|---|---|
| Tanya Schuler Sharman | 0 | 7,748,827 | 0 | 7,748,827 | 7,748,827 | 6.9% |
| Tanya Eva Schuler Trust | 0 | 6,748,637 | 0 | 6,748,637 | 6,748,637 | 6.0% |
Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 13)*
Aspira Women's Health Inc.
(Name of Issuer)
Common Stock, Par Value $0.001 Per Share
(Title of Class of Securities)
04537Y109
(CUSIP Number)
Tanya Schuler Sharman
100 N. Field Drive, Suite 360
Lake Forest, Illinois 60045
(224) 880-1210
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
February 8, 2021
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ]
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other
parties to whom copies are to be sent.
* 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).
| | SCHEDULE 13D | |
| | | |
| CUSIP No: 04537Y109 | | Page 2 of 5 Pages |
| 1 | NAMES OF REPORTING PERSONS | | | ||
| Tanya Schuler Sharman | | | |||
| | | ||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ☐ | ||
| (b) | ☒ | ||||
| | | ||||
| 3 | SEC USE ONLY | | | ||
| | | | |||
| | | ||||
| 4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
| OO | | | |||
| | | ||||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | | ☐ | ||
| | | ||||
| | | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | ||
| United States | | | |||
| | | ||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER | | | |
| 0 | | | |||
| | | ||||
| 8 | SHARED VOTING POWER | | | ||
| 7,748,827 | | | |||
| | | ||||
| 9 | SOLE DISPOSITIVE POWER | | | ||
| 0 | | | |||
| | | ||||
| 10 | SHARED DISPOSITIVE POWER | | | ||
| 7,748,827 | | | |||
| | | ||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
| 7,748,827 | | | |||
| | | ||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | | ☐ | ||
| | | ||||
| | | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | ||
| 6.9% (1) | | | |||
| | | ||||
| 14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
| IN | | | |||
| | | ||||
1. This percentage is based on a total of 111,561,251 Shares (as defined herein) outstanding, which is the sum of (i) 104,661,251 Shares outstanding as of
February 2, 2021, as disclosed in the Issuer’s prospectus the Form 424(b)(5) filed by the Company with the Securities and Exchange Commission on February 5, 2021, and (ii) 6,900,000 Shares issued pursuant to the February 2021 Offering.
| | SCHEDULE 13D | |
| | | |
| CUSIP No: 04537Y109 | | Page 3 of 5 Pages |
| 1 | NAMES OF REPORTING PERSONS | | | ||
| Tanya Eva Schuler Trust | | | |||
| | | ||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) | ☐ | ||
| (b) | ☒ | ||||
| | | ||||
| 3 | SEC USE ONLY | | | ||
| | | | |||
| | | ||||
| 4 | SOURCE OF FUNDS (SEE INSTRUCTIONS) | | | ||
| WC | | | |||
| | | ||||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) | | ☐ | ||
| | | ||||
| | | ||||
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | ||
| Illinois | | | |||
| | | ||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER | | | |
| 0 | | | |||
| | | ||||
| 8 | SHARED VOTING POWER | | | ||
| 6,748,637 | | | |||
| | | ||||
| 9 | SOLE DISPOSITIVE POWER | | | ||
| 0 | | | |||
| | | ||||
| 10 | SHARED DISPOSITIVE POWER | | | ||
| 6,748,637 | | | |||
| | | ||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
| 6,748,637 | | | |||
| | | ||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | | ☐ | ||
| | | ||||
| | | ||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | ||
| 6.0% (1) | | | |||
| | | ||||
| 14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
| OO | | | |||
| | | ||||
1. This percentage is based on a total of 111,561,251 Shares (as defined herein) outstanding, which is the sum of (i) 104,661,251 Shares outstanding as of
February 2, 2021, as disclosed in the Issuer’s prospectus the Form 424(b)(5) filed by the Company with the Securities and Exchange Commission on February 5, 2021 and (ii) 6,900,000 Shares issued pursuant to the February 2021 Offering.
| | SCHEDULE 13D | |
| | | |
| CUSIP No: 04537Y109 | | Page 4 of 5 Pages |
| Item 1. | Security and Issuer |
Item 1 of the Schedule 13D is hereby amended and supplemented as follows:
This Amendment No. 13 to Schedule 13D (“Amendment No. 13”) is being filed by the undersigned, pursuant to §240.13d-2(a), to amend and
supplement the Schedule 13D filed with the U.S. Securities and Exchange Commission (the “SEC”) on May 23, 2013, (the “Initial Schedule 13D”), as amended by Amendment No. 1 filed on December 29, 2014, Amendment No. 2 filed on February 11, 2015,
Amendment No. 3 filed on March 23, 2015, Amendment No. 4 filed on April 28, 2015, Amendment No. 5 filed on July 21, 2015, Amendment No. 6 filed on February 2, 2017, and Amendment No. 7 filed on September 5, 2017, Amendment No. 8 filed on April 19, 2018, Amendment No. 9 filed on June 25, 2018, Amendment No. 10 filed on July 02, 2019, Amendment No. 11 filed on June 12, 2020, and Amendment No. 12
filed on July 06, 2020 (collectively, the “Schedule 13D”), with respect to the common stock, par value $0.001 per share (the “Shares”), of Aspira Women's Health Inc. (the “Issuer”), whose principal executive offices are located at 12117 Bee
Caves Road, Building Three, Suite 100, Austin, Texas 78738.
| Item 3. | Source and Amount of Funds or Other Consideration |
Item 3 of the Schedule 13D is hereby amended and supplemented as follows:
A total of $1,333,335.00 was paid by the Tanya Trust to acquire 177,778 Shares acquired by the Reporting Persons in
connection with the February 2021 Offering (defined and described in Item 4 herein), representing a purchase price of $7.50 per Share. The funds used to make these purchases were personal funds of Jack W. Schuler that had been entrusted to Tanya
Trust.
| Item 4. | Purpose of Transaction |
Item 4 of the Schedule 13D is hereby amended and supplemented as follows:
On February 4, 2021, the Issuer announced the pricing of an underwritten public offering of 6,000,000 Shares at a
price of $7.50 per Share, plus a 30-day option for the underwriters to purchase up to an additional 900,000 Shares (the “Option Shares”) at the public offering price, less underwriting discounts and commissions, to cover over-allotments, if any
(the “February 2021 Offering”). The February 2021 Offering, including the Option Shares, closed on February 8, 2021.
In connection with the closing of the February 2021 Offering, the Tanya Trust acquired 177,778 Shares..
| Item 5. | Interest in Securities of the Issuer |
Item 5(a)-(c) of the Schedule 13D is hereby amended and supplemented as follows:
(a, b) As of the date hereof, Tanya Sharman may be deemed to beneficially own 7,748,827 Shares, representing approximately 6.9% of the
Shares outstanding. This amount consists of: (i) 6,748,637 Shares held by the Tanya Trust and (ii) 1,000,190 Shares held by the Schuler Descendants Trust.
As of the date hereof, Tanya Trust may be deemed to beneficially own 6,748,637 Shares, representing approximately 6.0% of the Shares
outstanding.
The foregoing beneficial ownership percentages are based on a total of 111,561,251 Shares outstanding, which is the sum of (i)
104,661,251 Shares outstanding as of February 2, 2021, as disclosed in the Issuer’s prospectus the Form 424(b)(5) filed by the Company with the Securities and Exchange Commission on February 5, 2021, and (ii) 6,900,000 Shares issued pursuant to the
February 2021 Offering.
As sole trustee of the Tanya Trust, Tanya Sharman and the Tanya Trust share the power to vote or to direct the vote, and the power to
dispose or to direct the disposition of, the Shares held by the Tanya Trust. As co-trustee of the Schuler Descendants Trust, Tanya Sharman shares with the Schuler Descendants Trust and the other trustees the power to vote or to direct the vote, and
the power to dispose or to direct the disposition of, the Shares held by the Schuler Descendants Trust.
(c) Other than the purchase pursuant to the February 2021 Offering, described in Item 3 and Item 4 of this Amendment No. 13, no
transactions in the Shares have been effected by the Reporting Persons within the past 60 days.
| | SCHEDULE 13D | |
| | | |
| CUSIP No: 04537Y109 | | Page 5 of 5 Pages |
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.
Tanya Schuler Sharman
/s/ Tanya Schuler Sharman
Tanya Eva Schuler Trust
/s/ Tanya Schuler Sharman
Name: Tanya Schuler Sharman
Title: Trustee
February 10, 2021
Attention: Intentional misstatements or omissions of act constitute federal violations (see 18 U.S.C. 1001).