Filing Details
- Accession Number:
- 0000929638-23-002183
- Form Type:
- 13G Filing
- Publication Date:
- 2023-08-06 20:00:00
- Filed By:
- Lind Global Fund Ii Lp
- Company:
- Abvc Biopharma Inc. (PINK:ABVC)
- Filing Date:
- 2023-08-07
- 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 Fund II | 385,000 | 0 | 385,000 | 0 | 385,000 | 9.9% |
| Lind Global Partners II | 385,000 | 0 | 385,000 | 0 | 385,000 | 9.9% |
| Jeff Easton | 385,000 | 0 | 385,000 | 0 | 385,000 | 9.9% |
Filing
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
| SCHEDULE 13G | ||
| Under the Securities Exchange Act of 1934 | ||
| (Amendment No. )* |
| ABVC BioPharma, Inc. | ||
| (Name of Issuer) |
| Common Stock, par value $0.001 per share | ||
| (Title of Class of Securities) |
| 00091F106 | ||
| (CUSIP Number) |
| July 28, 2023 | ||
| (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 Fund II 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 385,000 |
| 6 Shared
Voting Power 0 | |
| 7 Sole
Dispositive Power 385,000 | |
| 8 Shared
Dispositive Power 0 |
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person 385,000(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 person’s ownership consists of (i) 300,000 shares of common stock, (ii) 200,000 warrants to purchase shares of common stock (“Pre-funded
Warrants”), (iii) 529,166 warrants to purchase shares of common stock (“2023 Warrants,” together with the Pre-funded Warrants, the “Warrants”), and (iv) up to 1,058,333 shares of common stock issuable to the reporting person pursuant to a convertible
security entered into between Lind Global Fund II and ABVC BioPharma, Inc. (the “Convertible Security”); however, due to the exercise limitations of the Pre-funded Warrants, the 2023 Warrants and the Convertible Security, the reporting person’s
beneficial ownership has been limited to 385,000 shares in the aggregate.
(2) Each of the Pre-funded Warrants includes a provision limiting the holder’s ability to exercise the Pre-funded Warrants if such exercise would cause
the holder to beneficially own greater than 9.99% of the Company. The Convertible Security and the 2023 Warrants each include a provision limiting the holder’s ability to exercise the Convertible Security or the 2023 Warrants if such exercise would
cause the holder to beneficially own greater than 4.99% of the Company, which automatically increases to 9.99% if the reporting person owns in excess of 4.99% of the Company.
| 1 | Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Lind Global Partners II 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 385,000 |
| 6 Shared
Voting Power 0 | |
| 7 Sole
Dispositive Power 385,000 | |
| 8 Shared
Dispositive Power 0 |
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person 385,000(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 person’s ownership consists of (i) 300,000 shares of common stock, (ii) 200,000 Pre-funded Warrants, (iii) 529,166 2023 Warrants, and
(iv) up to 1,058,333 shares of common stock issuable to the reporting person pursuant to the Convertible Security; however, due to the exercise limitations of the Pre-funded Warrants, the 2023 Warrants and the Convertible Security, the reporting
person’s beneficial ownership has been limited to 385,000 shares in the aggregate.
(2) Each of the Pre-funded Warrants includes a provision limiting the holder’s ability to exercise the Pre-funded Warrants if such exercise would cause
the holder to beneficially own greater than 9.99% of the Company. The Convertible Security and the 2023 Warrants each include a provision limiting the holder’s ability to exercise the Convertible Security or the 2023 Warrants if such exercise would
cause the holder to beneficially own greater than 4.99% of the Company, which automatically increases to 9.99% if the reporting person owns in excess of 4.99% 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 385,000 |
| 6 Shared
Voting Power 0 | |
| 7 Sole
Dispositive Power 385,000 | |
| 8 Shared
Dispositive Power 0 |
| 9 | Aggregate Amount Beneficially Owned by Each Reporting Person 385,000(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 person’s ownership consists of (i) 300,000 shares of common stock, (ii) 200,000 Pre-funded Warrants, (iii) 529,166 2023 Warrants, and
(iv) up to 1,058,333 shares of common stock issuable to the reporting person pursuant to the Convertible Security; however, due to the exercise limitations of the Pre-funded Warrants, the 2023 Warrants, and the Convertible Security, the reporting
person’s beneficial ownership has been limited to 385,000 shares in the aggregate.
(2) Each of the Pre-funded Warrants includes a provision limiting the holder’s ability to exercise the Pre-funded Warrants if such exercise would cause the holder to
beneficially own greater than 9.99% of the Company. The Convertible Security and the 2023 Warrants each include a provision limiting the holder’s ability to exercise the Convertible Security or the 2023 Warrants if such exercise would cause the holder
to beneficially own greater than 4.99% of the Company, which automatically increases to 9.99% if the reporting person owns in excess of 4.99% of the Company.
Item 1.
| (a) | Name of Issuer |
| ABVC BioPharma, Inc. | |
| (b) | Address of Issuer’s Principal Executive Offices |
| 44370 Old Warm Springs Blvd. Fremont, CA 94538 |
Item 2.
| (a) | Name of Person Filing |
| This statement is filed by the following entities and individuals (collectively, referred to as the “Reporting Persons”): • Lind Global Fund II LP, a Delaware limited partnership; • Lind Global Partners II LLC, a Delaware limited
liability company; and • Jeff Easton, an individual and a citizen of the United States of America. Lind Global Partners II LLC, the general partner of Lind Global Fund II LP, may be deemed to have sole voting and dispositive power with respect to the shares held by
Lind Global Fund II LP. Jeff Easton, the managing member of Lind Global Partners II LLC, may be deemed to have sole voting and dispositive power with respect to the shares held
by Lind Global Fund II LP. | |
| (b) | Address of Principal Business Office or, if none, Residence |
| The address of the principal business office for each of the Reporting Persons is: 444 Madison Ave, Floor 41 New York, NY 10022 | |
| (c) | Citizenship |
| See Row 4 of cover page for each Reporting Person. | |
| (d) | Title of Class of Securities |
| Common Stock, par value $0.001 per share | |
| (e) | CUSIP Number |
| 00091F106 |
| 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.
August 7, 2023
| LIND GLOBAL FUND II LP | ||
| By: | | Lind Global Partners II LLC |
| | its General Partner | |
| By: | /s/ Jeff Easton | |
| Name: | | Jeff Easton |
| Title: | | Managing Member |
| LIND GLOBAL PARTNERS II LLC | ||
| By: | | /s/ Jeff Easton |
| Name: | | Jeff Easton |
| Title: | | Managing Member |
| JEFF EASTON | ||
| By: | | /s/ Jeff Easton |