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Tonix Pharmaceuticals Holding Corp. has been the subject of a Schedule 13G filing with the Securities and Exchange Commission (SEC), as reported on December 31, 2023. The filing was made by Empery Asset Management, LP, an investment adviser registered under Section 203 of the Investment Advisers Act of 1940, along with its managing members Ryan M. Lane and Martin D. Hoe. The filing indicates that Empery Asset Management, LP holds a significant number of shares and warrants in Tonix Pharmaceuticals, which upon full exercise, would represent 9.99% of the company's issued and outstanding common stock. However, due to contractual limitations known as 'blockers', the actual beneficial ownership is less than this percentage. The blockers prevent the reporting persons from exercising warrants to the extent that...Show More
Tonix Pharmaceuticals Holding Corp. has been the subject of a Schedule 13G filing with the Securities and Exchange Commission (SEC), as reported on December 31, 2023. The filing was made by Empery Asset Management, LP, an investment adviser registered under Section 203 of the Investment Advisers Act of 1940, along with its managing members Ryan M. Lane and Martin D. Hoe. The filing indicates that Empery Asset Management, LP holds a significant number of shares and warrants in Tonix Pharmaceuticals, which upon full exercise, would represent 9.99% of the company's issued and outstanding common stock. However, due to contractual limitations known as 'blockers', the actual beneficial ownership is less than this percentage. The blockers prevent the reporting persons from exercising warrants to the extent that their ownership would exceed 4.99% of the outstanding shares for common warrants, and 9.99% for pre-funded warrants. The filing also states that the warrants are not currently exercisable until certain approvals are obtained, which are beyond the control of the reporting persons. The filing is a regulatory requirement and does not necessarily indicate an intention to influence or change the control of Tonix Pharmaceuticals.
據2023年12月31日報道，Tonix Pharmicals Holding Corp. 已成爲向美國證券交易委員會（SEC）提交的附表13G文件的主體。該文件由根據1940年《投資顧問法》第203條註冊的投資顧問Empery Asset Management, LP及其管理成員瑞安·萊恩和馬丁·霍提交。該文件顯示，Empery Asset Management, LP持有Tonix Pharmicals的大量股票和認股權證，經全面行使，將佔該公司已發行和流通普通股的9.99％。但是，由於被稱爲 “封鎖” 的合同限制，實際受益所有權低於該百分比。封鎖措施阻止申報人行使認股權證，使他們行使認股...展開全部
據2023年12月31日報道，Tonix Pharmicals Holding Corp. 已成爲向美國證券交易委員會（SEC）提交的附表13G文件的主體。該文件由根據1940年《投資顧問法》第203條註冊的投資顧問Empery Asset Management, LP及其管理成員瑞安·萊恩和馬丁·霍提交。該文件顯示，Empery Asset Management, LP持有Tonix Pharmicals的大量股票和認股權證，經全面行使，將佔該公司已發行和流通普通股的9.99％。但是，由於被稱爲 “封鎖” 的合同限制，實際受益所有權低於該百分比。封鎖措施阻止申報人行使認股權證，使他們行使認股權證的所有權超過普通認股權證已發行股份的4.99％，預先注資認股權證的所有權將超過9.99％。該文件還指出，在獲得某些批准之前，認股權證目前無法行使，這是舉報人無法控制的。該文件是一項監管要求，不一定表示有意影響或改變Tonix Pharmicals的控制權。
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