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SEC Filings

S-3
SEELOS THERAPEUTICS, INC. filed this Form S-3 on 02/01/2019
Entire Document
 



Name of Selling Stockholder

Number of Shares of
Common Stock Owned
Prior to Offering

Maximum Number of
Shares of Common Stock
to be Sold Pursuant to this
Prospectus

Number of Shares of
Common Stock Owned
After Offering

Hudson Bay Master Fund Ltd.

2,886,976 (1)

2,660,501

226,475

Altium Growth Fund, LP

2,224,055 (2)

1,995,379

228,676

Alto Opportunity Master Fund, SPC - Segregated Master Portfolio B

2,194,484 (3)

1,995,379

199,105

Empery Asset Master Ltd

1,022,589 (4)

917,447

105,142

Empery Tax Efficient, LP

162,529 (5)

145,819

16,710

Empery Tax Efficient II, LP

1,038,938 (6)

932,115

106,823

CVI Investments, Inc.

2,236,555 (7)

1,995,379

241,176

Ionic Ventures LLC

2,109,717 (8)

1,995,379

114,338

Sabby Volatility Warrant Master Fund, Ltd.

2,254,055 (9)

1,995,379

258,676

Ligand Pharmaceuticals Incorporated

1,482,707 (10)

1,330,257

152,450

(1) The number of shares consists of (i) 226,475 Common Shares held directly by the Selling Stockholder and (ii) 2,660,501 Common Shares issuable upon exercise of the Warrants, without giving effect to the blocker provision described above. Hudson Bay Capital Management, L.P., the investment manager of Hudson Bay Master Fund Ltd., has voting and investment power over these securities. Sander Gerber is the managing member of Hudson Bay Capital GP LLC, which is the general partner of Hudson Bay Capital Management, L.P. Each of Hudson Bay Master Fund Ltd. and Sander Gerber disclaims beneficial ownership over these securities.

(2) The number of shares consists of (i) 228,676 Common Shares held directly by the Selling Stockholder and (ii) 1,995,379 Common Shares issuable upon exercise of the Warrants, without giving effect to the blocker provision described above. Altium Capital Management, LP, the investment manager of Altium Growth Fund, LP, has voting and investment power over these securities. Jacob Gottlieb is the managing member of Altium Capital Growth GP, LLC, which is the general partner of Altium Growth Fund, LP. Each of Altium Growth Fund, LP and Jacob Gottlieb disclaims beneficial ownership over these securities.

(3) The number of shares consists of (i) 199,105 Common Shares held directly by the Selling Stockholder and (ii) 1,995,379 Common Shares issuable upon exercise of the Warrants, without giving effect to the blocker provision described above. Ayrton Capital LLC, the investment manager to Alto Opportunity Master Fund, SPC - Segregated Master Portfolio B, has discretionary authority to vote and dispose of the shares held by Alto Opportunity Master Fund, SPC - Segregated Master Portfolio B and may be deemed to be the beneficial owner of these shares. Waqas Khatri, in his capacity as Managing Member of Ayrton Capital LLC, may also be deemed to have investment discretion and voting power over the shares held by Alto Opportunity Master Fund, SPC - Segregated Master Portfolio B. Alto Opportunity Master Fund, SPC - Segregated Master Portfolio B and Mr. Khatri each disclaim any beneficial ownership of these shares. The address of Ayrton Capital LLC is 222 Broadway, 19th Fl, New York, NY 10038.

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