13G Filing: Opaleye Management and Tonix Pharmaceuticals Holding Corp. (TNXP)

Page 3 of 8 – SEC Filing

 

CUSIP No. 890260409  

 

     NAMES
OF REPORTING PERSONS
1

   I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

   Opaleye,
L.P.

     CHECK THE APPROPRIATE
BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
   
     (a) [  ]
2    (b)
[  ]
     SEC USE ONLY
   
3  
     CITIZENSHIP OR
PLACE OF ORGANIZATION
   
4

   Delaware

NUMBER
OF SHARES

BENEFICIALLY OWNED
BY EACH REPORTING
PERSON WITH:
     SOLE VOTING POWER
   
5    0
     SHARED VOTING
POWER
   
6

   413,593

     SOLE DISPOSITIVE
POWER
   
7    0
     SHARED DISPOSITIVE
POWER
   
8    413,593
     AGGREGATE AMOUNT
BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
9    413,593
     CHECK IF THE
AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
10    [  ]
     PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9)
   
11

   5.52%
(based on 7,486,026 common shares issued and outstanding as of April 13, 2017)

     TYPE OF REPORTING
PERSON (SEE INSTRUCTIONS)
   
12    PN

 

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