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SEC Filings

S-3
SEELOS THERAPEUTICS, INC. filed this Form S-3 on 02/01/2019
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* Less than one percent.

   

(1)

Percentage ownership is calculated based on a total of 6,221,984 shares of Common Stock issued and outstanding as of the Reference Date.

(2)

Represents 3,081,546 shares of Common Stock held by Raj Mehra, Ph.D.

(3)

Represents (i) 226,475 shares of Common Stock held directly by Hudson Bay Master Fund Ltd. and (ii) 243,921 shares of Common Stock issuable upon exercise of warrants. 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.

(4)

Represents (i) 228,676 shares of Common Stock hares held directly by Altium Growth Fund, LP and (ii) 182,940 shares of Common Stock issuable upon exercise of warrants. 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.

(5)

Represents (i) 105,142 shares of Common Stock held directly by Empery Asset Master, Ltd. ("EAM"), (ii) 84,113 shares of Common Stock issuable upon exercise of warrants held by EAM, (iii) 16,710 shares of Common Stock held directly by Empery Tax Efficient, LP ("ETE"), (iv) 13,368 shares of Common Stock issuable upon exercise of warrants held by ETE, (v) 106,823 shares of Common Stock held directly by Empery Tax Efficient II, LP ("ETE II") and (vi) 85,457 shares of Common Stock issuable upon exercise of warrants held by ETE II. Empery Asset Management LP, the authorized agent of EAM, ETE and ETE II has discretionary authority to vote and dispose of the shares held by EAM, ETE and 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 EAM, ETE and ETE II. EAM, ETE, ETE II, Mr. Hoe and Mr. Lane each disclaim any beneficial ownership of these shares.

(6)

Represents (i) 228,676 shares of Common Stock held directly by CVI Investments, Inc. ("CVI") and (ii) 1,372,055 shares of Common Stock issuable upon exercise of warrants. Heights Capital Management, Inc., the authorized agent of 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. The address for CVI Investments, Inc. is c/o Heights Capital Management, Inc., 101 California Street, Suite 3250, San Francisco, California 94111. CVI is affiliated with one or more FINRA members. CVI purchased the shares being registered hereunder in the ordinary course of business and at the time of purchase, had no agreements or understandings, directly or indirectly, with any other person to distribute such shares.

(7)

Unless otherwise indicated, the address for each of our executive officers and directors is c/o 300 Park Avenue, 12th Floor, New York, NY 10022.

(8)

Represents (i) 5,180 shares of Common Stock held directly by Richard Pascoe, (ii) 59 shares of Common Stock issuable upon exercise of warrants and (iii) 13,832 shares of Common Stock issuable upon exercise of stock options.

(9)

Represents (i) 3,864 shares of Common Stock held directly by Brian T. Dorsey and (ii) 3,666 shares of Common Stock issuable upon exercise of stock options. Mr. Dorsey's employment was terminated on August 30, 2018.

(10)

Represents (i) 3,339 shares of Common Stock held directly by Neil Morton and (ii) 3,699 shares of Common Stock issuable upon exercise of stock options. Mr. Morton's employment was terminated on January 24, 2019.

(11)

Comprised of shares beneficially owned by each of our directors, including Dr. Mehra, our Chairman, Chief Executive Officer, President & Interim Chief Financial Officer.

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