4//SEC Filing
ARMISTICE CAPITAL, LLC 4
Accession 0000899243-23-004412
CIK 0001534120other
Filed
Feb 8, 7:00 PM ET
Accepted
Feb 9, 4:32 PM ET
Size
14.2 KB
Accession
0000899243-23-004412
Insider Transaction Report
Form 4
ARMISTICE CAPITAL, LLC
Director10% Owner
Transactions
- Purchase
Common Stock
2023-02-07+450,000→ 4,415,000 total(indirect: See Footnote) - Small Acquisition
Common Stock
2023-02-03$3.95/sh+334$1,319→ 3,965,000 total(indirect: See Footnote) - Purchase
Warrant
2023-02-07+450,000→ 450,000 total(indirect: See Footnote)Exercise: $5.00From: 2023-02-07Exp: 2024-02-07→ Common Stock (450,000 underlying)
Holdings
- 34,370
Common Stock
Armistice Capital Master Fund Ltd.
Director10% Owner
Transactions
- Small Acquisition
Common Stock
2023-02-03$3.95/sh+334$1,319→ 3,965,000 total(indirect: See Footnote) - Purchase
Common Stock
2023-02-07+450,000→ 4,415,000 total(indirect: See Footnote) - Purchase
Warrant
2023-02-07+450,000→ 450,000 total(indirect: See Footnote)Exercise: $5.00From: 2023-02-07Exp: 2024-02-07→ Common Stock (450,000 underlying)
Holdings
- 34,370
Common Stock
Boyd Steven
Director10% Owner
Transactions
- Small Acquisition
Common Stock
2023-02-03$3.95/sh+334$1,319→ 3,965,000 total(indirect: See Footnote) - Purchase
Common Stock
2023-02-07+450,000→ 4,415,000 total(indirect: See Footnote) - Purchase
Warrant
2023-02-07+450,000→ 450,000 total(indirect: See Footnote)Exercise: $5.00From: 2023-02-07Exp: 2024-02-07→ Common Stock (450,000 underlying)
Holdings
- 34,370
Common Stock
Footnotes (4)
- [F1]This amount reflects the effect of the 1-for-12 reverse stock split.
- [F2]The reported securities of Avalo Therapeutics, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- [F3]Each share of common stock and accompanying warrant were purchased together for $3.98. The warrants are subject to a 4.99% beneficial ownership limitation on exercise.
- [F4]These shares are directly owned by Mr. Boyd in his personal capacity.
Documents
Issuer
Avalo Therapeutics, Inc.
CIK 0001534120
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001601086
Filing Metadata
- Form type
- 4
- Filed
- Feb 8, 7:00 PM ET
- Accepted
- Feb 9, 4:32 PM ET
- Size
- 14.2 KB