0001213900-19-002332.txt : 20190213 0001213900-19-002332.hdr.sgml : 20190213 20190213145512 ACCESSION NUMBER: 0001213900-19-002332 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 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: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-32837 FILM NUMBER: 19596479 BUSINESS ADDRESS: STREET 1: 310 N. WESTLAKE BLVD. STREET 2: SUITE 206 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91362 BUSINESS PHONE: (800) 304-9888 MAIL ADDRESS: STREET 1: 310 N. WESTLAKE BLVD. STREET 2: SUITE 206 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91362 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 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 sc13g021319a3alpha_gtbio.htm AMENDMENT NO. 3 TO SCHEDULE 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G

 

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO. 3)

 

GT BIOPHARMA, INC.

 

(Name of Issuer)

 

COMMON STOCK

 

(Title of Class of Securities)

 

691829402

 

(CUSIP Number)

 

December 31, 2018

 

(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 4 Pages

 

 

 

 

 

 

CUSIP No. 691829402   13G  

Page 2 of 4 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 – 2,966,667 shares of Common Stock, which includes shares issuable upon conversion of a secured convertible note (“Note”) at a conversion price equal to $0.60, which Note is subject to a 9.99% blocker provision *

 

 

6. SHARED VOTING POWER - None

 

 

7. SOLE DISPOSITIVE POWER – 2,966,667 shares of Common Stock, which includes shares issuable upon conversion of a secured convertible note (“Note”) at a conversion price equal to $0.60, which Note is subject to a 9.99% blocker provision *

 

 

8. SHARED DISPOSITIVE POWER – None

 

 

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - 2,966,667 shares of Common Stock, which includes shares issuable upon conversion of a secured convertible note (“Note”) at a conversion price equal to $0.60, which Note is subject to a 9.99% blocker provision *

 

 

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

 

 

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

5.9% *

 

12. TYPE OF REPORTING PERSON

 

CO

 

 

* Based on 50,227,978 shares outstanding on December 31, 2018 as described in the Issuer’s Form 10-Q for the quarter ended September 30, 2018.

 

 

 

 

CUSIP No. 691829402   13G  

Page 3 of 4 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:

 

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: 2,966,667 shares of Common Stock, which includes shares issuable upon conversion of a secured convertible note (“Note”) at a conversion price equal to $0.60, which Note is subject to a 9.99% blocker provision *

 

(b)PERCENT OF CLASS: 5.9%

 

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

 

(i)SOLE POWER TO VOTE OR DIRECT THE VOTE

 

2,966,667 shares of Common Stock, which includes shares issuable upon conversion of a secured convertible note (“Note”) at a conversion price equal to $0.60, which Note is subject to a 9.99% blocker provision *

 

(ii)SHARED POWER TO VOTE OR DIRECT THE VOTE

 

0 Shares

 

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

 

2,966,667 shares of Common Stock, which includes shares issuable upon conversion of a secured convertible note (“Note”) at a conversion price equal to $0.60, which Note is subject to a 9.99% blocker provision *

 

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

 

0 Shares

 

 

 

 

CUSIP No. 691829402   13G  

Page 4 of 4 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

 

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, 2019
  (Date)
   
  /s/ Konrad Ackermann
  (Signature)
   
  Konrad Ackermann, Director
  (Name/Title)