Filing Details
- Accession Number:
- 0001193125-21-299063
- Form Type:
- 13D Filing
- Publication Date:
- 2021-10-14 20:00:00
- Filed By:
- Armistice Capital
- Company:
- Avalo Therapeutics Inc. (NASDAQ:AVTX)
- Filing Date:
- 2021-10-15
- SEC Url:
- 13D Filing
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 |
---|---|---|---|---|---|---|
Armistice Capital | 0 | 49,000,000 | 0 | 49,000,000 | 49,000,000 | 43.6% |
Steven Boyd | 412,442 | 49,000,000 | 412,442 | 49,000,000 | 49,412,442 | 43.9% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 20)*
Avalo Therapeutics, Inc.
(Name of Issuer)
Common Stock, $0.001 par value per share
(Title of Class of Securities)
05338F108
(CUSIP Number)
Brian Kohn
c/o Armistice Capital, LLC
510 Madison Avenue
7th Floor
New York, NY 10022
Telephone Number: (212) 231-4930
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
October 14, 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 ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ☐
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
CUSIP No. 05338F108
1 | NAMES OF REPORTING PERSONS
Armistice Capital, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF | |||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
0 | ||||
8 | SHARED VOTING POWER
49,000,000 | |||||
9 | SOLE DISPOSITIVE POWER
0 | |||||
10 | SHARED DISPOSITIVE POWER
49,000,000 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
49,000,000 | |||||
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)
43.6% | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IA, OO |
CUSIP No. 05338F108
1 | NAMES OF REPORTING PERSONS
Steven Boyd | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF | |||||
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 of America |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER
412,442 | ||||
8 | SHARED VOTING POWER
49,000,000 | |||||
9 | SOLE DISPOSITIVE POWER
412,442 | |||||
10 | SHARED DISPOSITIVE POWER
49,000,000 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
49,412,442 | |||||
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)
43.9% | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN, HC |
Amendment No. 20 to Schedule 13D
The following constitutes Amendment No. 20 to the Schedule 13D filed by the undersigned (Amendment No. 20). This Amendment No. 20 amends the Schedule 13D as specifically set forth herein.
All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Schedule 13D, as amended. Information given in response to each item shall be deemed incorporated by reference in all other items, as applicable.
Item 4. Purpose of Transaction
Item 4 of the Schedule 13D is supplemented and superseded, as the case may be, as follows:
On October 14, 2021, pursuant to previously disclosed rights under the Certificate of Designation of Preferences, Rights and Limitations of the Issuers Series A Convertible Preferred Stock, the Reporting Persons on behalf of the Master Fund, exercised the right to elect an additional director to the Issuers Board of Directors (the Board) and elected Keith Maher, MD, a Managing Director at Armistice Capital, LLC, to the Issuers Board with immediate effect.
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.
October 14, 2021 | ||
(Date) | ||
Armistice Capital, LLC | ||
By: | /s/ Steven Boyd | |
Name: Steven Boyd | ||
Title: Managing Member | ||
Steven Boyd | ||
/s/ Steven Boyd |