0001213900-22-002288.txt : 20220118 0001213900-22-002288.hdr.sgml : 20220118 20220118113002 ACCESSION NUMBER: 0001213900-22-002288 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20220118 DATE AS OF CHANGE: 20220118 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GT Biopharma, Inc. CENTRAL INDEX KEY: 0000109657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 941620407 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-32837 FILM NUMBER: 22534203 BUSINESS ADDRESS: STREET 1: 8000 MARINA BLVD STREET 2: SUITE 100 CITY: BRISBANE STATE: CA ZIP: 94005 BUSINESS PHONE: (800) 304-9888 MAIL ADDRESS: STREET 1: 8000 MARINA BLVD STREET 2: SUITE 100 CITY: BRISBANE STATE: CA ZIP: 94005 FORMER COMPANY: FORMER CONFORMED NAME: OXIS INTERNATIONAL INC DATE OF NAME CHANGE: 19940916 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 STATE OF INCORPORATION: N2 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: LETTSTRASSE 32 STREET 2: FL-9490 CITY: VADUZ STATE: N2 ZIP: 00000 BUSINESS PHONE: 011-423-2323195 MAIL ADDRESS: STREET 1: LETTSTRASSE 32 STREET 2: FL-9490 CITY: VADUZ STATE: N2 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA CAPITAL AKTIENGESELLSCHAFT DATE OF NAME CHANGE: 20010510 SC 13G/A 1 ea154093-13ga6alpha_gtbio.htm AMENDMENT NO. 6 TO SCHEDULE 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G/A

 

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO. 6)

 

GT BIOPHARMA, INC.

 

(Name of Issuer)

 

COMMON STOCK

 

(Title of Class of Securities)

 

36254L100

 

(CUSIP Number)

 

December 31, 2021

 

(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. 36254L100

   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 – 265,232 shares (1)

   
6. SHARED VOTING POWER – None
   
7. SOLE DISPOSITIVE POWER – 265,232 shares (1)
   
8. SHARED DISPOSITIVE POWER – None
   

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -  
     
  265,232 shares (1)  
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES  
  CERTAIN SHARES ☐
 

 
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9  
     
  0.867%  
12. TYPE OF REPORTING PERSON  
     
  CO  

  

(1)Based on 30,582,354 shares outstanding as of November 10, 2021 as disclosed in Form 10-Q filed on November 10, 2021 for the quarter ended September 30, 2021.

 

 

 

 

CUSIP No. 36254L100

   13G Page 3 of 5 Pages

 

ITEM 1 (a) NAME OF ISSUER: GT Biopharma, 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:

 

Altenbach 8, FL-9490 Vaduz, Liechtenstein

 

ITEM 2 (c) CITIZENSHIP: Liechtenstein

 

ITEM 2 (d) TITLE OF CLASS OF SECURITIES: Common Stock

 

ITEM 2 (e) CUSIP NUMBER: 36254L100

 

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: 265,232 shares (1)

 

(b) PERCENT OF CLASS: 0.867%

 

(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:

 

(i) SOLE POWER TO VOTE OR DIRECT THE VOTE

 

265,232 shares (1)

 

(ii) SHARED POWER TO VOTE OR DIRECT THE VOTE

 

0 Shares

 

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

 

265,232 shares (1)

 

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

 

0 Shares

 

 

 

 

CUSIP No. 36254L100

   13G Page 4 of 5 Pages

 

ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS

 

Alpha Capital Anstalt’s ownership is now below 5%.

 

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. 36254L100

   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.

 

 

January 18, 2022

  (Date)
   
  /s/ Konrad Ackermann
  (Signature)
   
  Konrad Ackermann, Director
  (Name/Title)