0001213900-17-001248.txt : 20170213 0001213900-17-001248.hdr.sgml : 20170213 20170213133934 ACCESSION NUMBER: 0001213900-17-001248 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170213 DATE AS OF CHANGE: 20170213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OXIS INTERNATIONAL INC CENTRAL INDEX KEY: 0000109657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 941620407 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-32837 FILM NUMBER: 17597843 BUSINESS ADDRESS: STREET 1: 100 SOUTH ASHLEY DRIVE STREET 2: SUITE 600 CITY: TAMPA STATE: FL ZIP: 33602 BUSINESS PHONE: (800) 304-9888 MAIL ADDRESS: STREET 1: 100 SOUTH ASHLEY DRIVE STREET 2: SUITE 600 CITY: TAMPA STATE: FL ZIP: 33602 FORMER COMPANY: FORMER CONFORMED NAME: DDI PHARMACEUTICALS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DIAGNOSTIC DATA INC /DE/ DATE OF NAME CHANGE: 19850312 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA CAPITAL ANSTALT CENTRAL INDEX KEY: 0001140358 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: PRADAFAUT 7 STREET 2: FURSTENTUMS 1490 CITY: VADUZ LIECHTENSTEIN STATE: C4 ZIP: 99999 BUSINESS PHONE: 0114232376363 MAIL ADDRESS: STREET 1: PRADAFAUT 7 STREET 2: FURSTENTUMS 1490 CITY: VADUZ LIECHTENSTEIN STATE: C4 ZIP: 99999 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA CAPITAL AKTIENGESELLSCHAFT DATE OF NAME CHANGE: 20010510 SC 13G/A 1 sc13g0217a1alpha_oxisinter.htm AMENDMENT NO. 1 TO SCHEDULE 13G

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO. 1)

OXIS INTERNATIONAL, INC.

(Name of Issuer)

COMMON STOCK

(Title of Class of Securities)

691829402

(CUSIP Number)

December 31, 2016

(DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(c)

*The remainder of this cover page shall be filled out for a reporting person's 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).

(Continued on following page(s)

Page 1 of 5 Pages

CUSIP No. 691829402

13G

Page 2 of 5 Pages

1. NAMES OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Alpha Capital Anstalt

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a) ☐

(b) ☐

3. SEC USE ONLY

4. CITIZENSHIP OR PLACE OF ORGANIZATION

Liechtenstein

5. SOLE VOTING POWER, NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON – 4,778,809 shares of Common Stock *

6. SHARED VOTING POWER - None

7. SOLE DISPOSITIVE POWER – 4,778,809 shares of Common Stock *

8. SHARED DISPOSITIVE POWER – None

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -

4,778,809 shares of Common Stock *

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☒

The aggregate amount in row 9 represents the maximum amount of shares that Alpha Capital Anstalt can beneficially control under a contractually stipulated 9.99% ownership restriction. The full conversion and/or exercise of Alpha Capital’s securities would exceed this limitation.

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

9.99%

12. TYPE OF REPORTING PERSON

* Based on a number of outstanding equal to 47,835,928 shares

CUSIP No. 691829402

13G

Page 3 of 5 Pages

ITEM 1 (a)

NAME OF ISSUER: Oxis International, Inc.

ITEM 1 (b)	ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:

	4830 West Kennedy Blvd, Suite 600, Tampa, FL 33609

ITEM 2 (a)

NAME OF PERSON FILING: Alpha Capital Anstalt

ITEM 2 (b)	ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:

	Lettstrasse 32, FL-9490 Vaduz, Furstentums, Liechtenstein

ITEM 2 (c)

CITIZENSHIP: Liechtenstein

ITEM 2 (d)

TITLE OF CLASS OF SECURITIES: Common Stock

ITEM 2 (e)

CUSIP NUMBER: 691829402

ITEM 3	IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B) OR 13D-2(B):

	Not applicable

ITEM 4

OWNERSHIP

(a)

AMOUNT BENEFICIALLY OWNED: 4,778,809 shares of Common Stock *

(b)

PERCENT OF CLASS: 9.99%

(c)

NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:

	(i)	SOLE POWER TO VOTE OR DIRECT THE VOTE

		4,778,809 shares of Common Stock *

	(ii)	SHARED POWER TO VOTE OR DIRECT THE VOTE

		0 Shares

	(iii)	SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF

		4,778,809 shares of Common Stock *

	(iv)	SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF

		0 Shares

CUSIP No. 691829402

13G

Page 4 of 5 Pages

ITEM 5	OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS

	Not applicable

ITEM 6	OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON

	Not applicable

ITEM 7	IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY

	Not applicable

ITEM 8	IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF A GROUP

	Not applicable

ITEM 9	NOTICE OF DISSOLUTION OF GROUP

	Not applicable

CUSIP No. 691829402

13G

Page 5 of 5 Pages

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

	February 13, 2017
	(Date)

	/s/ Konrad Ackermann
	(Signature)

	Konrad Ackermann, Director
	(Name/Title)