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SEC Filings

S-3
SEELOS THERAPEUTICS, INC. filed this Form S-3 on 02/01/2019
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(4) The number of shares consists of (i) 105,142 Common Shares held directly by the Selling Stockholder and (ii) 917,447 Common Shares issuable upon exercise of the Warrants, without giving effect to the blocker provision described above. Empery Asset Management LP, the authorized agent of Empery Asset Master Ltd ("EAM"), has discretionary authority to vote and dispose of the shares held by EAM and may be deemed to be the beneficial owner of these shares. Martin Hoe and Ryan Lane, in their capacity as investment managers of Empery Asset Management LP, may also be deemed to have investment discretion and voting power over the shares held by EAM. EAM, Mr. Hoe and Mr. Lane each disclaim any beneficial ownership of these shares.

(5) The number of shares consists of (i) 16,710 Common Shares held directly by the Selling Stockholder and (ii) 145,819 Common Shares issuable upon exercise of the Warrants, without giving effect to the blocker provision described above. Empery Asset Management LP, the authorized agent of Empery Tax Efficient, LP ("ETE"), has discretionary authority to vote and dispose of the shares held by ETE and may be deemed to be the beneficial owner of these shares. Martin Hoe and Ryan Lane, in their capacity as investment managers of Empery Asset Management LP, may also be deemed to have investment discretion and voting power over the shares held by ETE. ETE, Mr. Hoe and Mr. Lane each disclaim any beneficial ownership of these shares.

(6) The number of shares consists of (i) 106,823 Common Shares held directly by the Selling Stockholder and (ii) 932,115 Common Shares issuable upon exercise of the Warrants, without giving effect to the blocker provision described above. Empery Asset Management LP, the authorized agent of Empery Tax Efficient II, LP ("ETE II"), has discretionary authority to vote and dispose of the shares held by ETE II and may be deemed to be the beneficial owner of these shares. Martin Hoe and Ryan Lane, in their capacity as investment managers of Empery Asset Management LP, may also be deemed to have investment discretion and voting power over the shares held by ETE II. ETE II, Mr. Hoe and Mr. Lane each disclaim any beneficial ownership of these shares.

(7) The number of shares consists of (i) 228,676 Common Shares held directly by the Selling Stockholder, (ii) 1,995,379 Common Shares issuable upon exercise of the Warrants, without giving effect to the blocker provision described above and (iii) 12,500 Common Shares issuable upon exercise of warrants. Heights Capital Management, Inc., the authorized agent of CVI Investments, Inc. ("CVI"), has discretionary authority to vote and dispose of the shares held by CVI and may be deemed to be the beneficial owner of these shares. Martin Kobinger, in his capacity as Investment Manager of Heights Capital Management, Inc., may also be deemed to have investment discretion and voting power over the shares held by CVI. Mr. Kobinger disclaims any such beneficial ownership of the shares. CVI Investments, Inc.is affiliated with one or more FINRA member, none of whom are currently expected to participate in the sale pursuant to the prospectus contained in the registration statement of Common Shares purchased by the Selling Stockholder in this offering.

(8) The number of shares consists of (i) 114,338 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. These shares are held of record by Ionic Ventures, LLC ("Ionic Ventures"). Each of Keith R. Coulston and Brendan O'Neil are the managers of Ionic Ventures and, as a result, have shared voting and dispositive power over the shares held by Ionic Ventures. Each of Keith R. Coulston and Brendan O'Neil disclaim beneficial ownership over of the shares held by Ionic Ventures except to the extent of his proportionate pecuniary interest therein. The principal business address of Ionic Ventures, LLC is 5328 Yacht Haven Grande, Box # 15 / Suite C201, St. Thomas, VI 00802.

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