Amended Statement of Ownership (sc 13g/a)
January 16 2018 - 11:45AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
|
Washington, D.C. 20549
|
|
|
|
SCHEDULE 13G
|
|
|
|
Under the Securities Exchange Act of 1934
|
|
(Amendment No. 1)*
|
|
Tonix
Pharmaceuticals Holding Corp.
|
(Name of Issuer)
|
|
Common
Stock, $0.001 par value
|
(Title of Class of Securities)
|
|
890260409
|
(CUSIP Number)
|
|
December
31, 2017
|
(Date of event which requires filing of this statement)
|
|
Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed:
|
|
☐
|
Rule 13d-1(b)
|
☒
|
Rule 13d-1(c)
|
☐
|
Rule 13d-1(d)
|
|
(Page 1 of 6 Pages)
|
*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 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).
CUSIP No. 890260409
|
13G
|
Page
2
of 6 Pages
|
1
|
NAMES OF REPORTING PERSONS
Empery Asset Management, LP
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
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
|
6
|
SHARED VOTING POWER
-0
-
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
-0
-
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0
-
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00%
|
12
|
TYPE OF REPORTING PERSON
PN
|
|
|
|
|
|
CUSIP No. 890260409
|
13G
|
Page
3
of 6 Pages
|
1
|
NAMES OF REPORTING PERSONS
Ryan M. Lane
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
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
|
6
|
SHARED VOTING POWER
-0
-
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
-0
-
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0
-
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00%
|
12
|
TYPE OF REPORTING PERSON
IN
|
|
|
|
|
|
CUSIP No. 890260409
|
13G
|
Page
4
of 6 Pages
|
1
|
NAMES OF REPORTING PERSONS
Martin D. Hoe
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☐
|
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
|
6
|
SHARED VOTING POWER
-0-
|
7
|
SOLE DISPOSITIVE POWER
|
8
|
SHARED DISPOSITIVE POWER
-0-
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0
-
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00%
|
12
|
TYPE OF REPORTING PERSON
IN
|
|
|
|
|
|
CUSIP No. 890260409
|
13G
|
Page
5
of 6 Pages
|
This Amendment No. 1 (this
Amendment
)
amends the statement on Schedule 13G filed on April 7, 2017 (the
Original Schedule 13G
, as amended, the
Schedule
13G
), with respect to shares of Common Stock, $0.001 par value (the
Common Stock
), of Tonix Pharmaceuticals
Holding Corp. (the
Company
). Capitalized terms used herein and not otherwise defined in this Amendment have
the meanings set forth in the Schedule 13G. This Amendment amends and restates Items 4 and 5 in their entirety as set forth below.
Item 4.
|
OWNERSHIP
.
|
|
|
|
The
information as of the date of the event which requires filing of this statement required
by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each
Reporting Person hereto and is incorporated herein by reference for each such Reporting
Person. The percentage set forth in Row 11 of the cover page for each Reporting Person
is based on 7,830,040 shares of Common Stock issued and outstanding as of November 3,
2017, as represented in the Companys Quarterly Report on Form 10-Q filed with the
Securities and Exchange Commission on November 6, 2017.
The Investment Manager, which serves as the investment manager to the Empery Funds, may be deemed to be
the beneficial owner of all shares of Common Stock held by the Empery Funds. Each of the Reporting Individuals, as Managing Members
of the General Partner of the Investment Manager with the power to exercise investment discretion, may be deemed to be the beneficial
owner of all shares of Common Stock held by the Empery Funds. The foregoing should not be construed in and of itself as an admission
by any Reporting Person as to beneficial ownership of shares of Common Stock owned by another Reporting Person. Each of the Empery
Funds and the Reporting Individuals hereby disclaims any beneficial ownership of any such shares of Common Stock.
|
|
|
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: ☒
|
CUSIP No. 890260409
|
13G
|
Page
6
of 6 Pages
|
SIGNATURES
After reasonable inquiry and to the best
of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
DATED: January 16, 2018
|
|
|
|
EMPERY ASSET MANAGEMENT, LP
|
|
|
By: EMPERY AM GP, LLC, its General Partner
|
|
|
|
|
|
By:
|
/s/
Ryan M. Lane
|
|
|
Name: Ryan M. Lane
|
|
|
Title: Managing Member
|
|
|
|
|
|
/s/
Ryan M. Lane
|
|
|
Ryan M. Lane
|
|
|
|
|
|
/s/
Martin D. Hoe
|
|
|
Martin D. Hoe
|
|
Tonix Pharmaceuticals (NASDAQ:TNXP)
Historical Stock Chart
From Apr 2024 to May 2024
Tonix Pharmaceuticals (NASDAQ:TNXP)
Historical Stock Chart
From May 2023 to May 2024