Filing Details

Accession Number:
0000899243-23-004412
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-02-09 16:32:03
Reporting Period:
2023-02-03
Accepted Time:
2023-02-09 16:32:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1534120 Avalo Therapeutics Inc. AVTX Pharmaceutical Preparations (2834) 450705648
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1601086 Armistice Capital, Llc 510 Madison Avenue, 7Th Floor
New York NY 10022
No No Yes No
1633584 Ltd. Fund Master Capital Armistice 510 Madison Avenue
7Th Floor
New York NY 10022
No No Yes No
1706140 Steven Boyd 510 Madison Avenue
7Th Floor
New York NY 10022
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2023-02-03 334 $3.95 3,965,000 No 4 L Indirect See Footnote
Common Stock Acquisiton 2023-02-07 450,000 $0.00 4,415,000 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 L Indirect See Footnote
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant Acquisiton 2023-02-07 450,000 $0.00 450,000 $5.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
450,000 2023-02-07 2024-02-07 No 4 P Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 34,370 Direct
Footnotes
  1. This amount reflects the effect of the 1-for-12 reverse stock split.
  2. 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.
  3. 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.
  4. These shares are directly owned by Mr. Boyd in his personal capacity.