0001387131-20-007254.txt : 20200810 0001387131-20-007254.hdr.sgml : 20200810 20200810134732 ACCESSION NUMBER: 0001387131-20-007254 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200810 DATE AS OF CHANGE: 20200810 GROUP MEMBERS: ALTIUM GROWTH FUND, LP GROUP MEMBERS: ALTIUM GROWTH GP, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IMMUNIC, INC. CENTRAL INDEX KEY: 0001280776 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 562358443 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88651 FILM NUMBER: 201088580 BUSINESS ADDRESS: STREET 1: AM KLOPFERSPITZ 19 CITY: MARTINSRIED STATE: 2M ZIP: 82152 BUSINESS PHONE: 49 89 250079460 MAIL ADDRESS: STREET 1: AM KLOPFERSPITZ 19 CITY: MARTINSRIED STATE: 2M ZIP: 82152 FORMER COMPANY: FORMER CONFORMED NAME: VITAL THERAPIES INC DATE OF NAME CHANGE: 20040219 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Altium Capital Management LP CENTRAL INDEX KEY: 0001746382 IRS NUMBER: 822066653 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 152 W 57 ST FL20 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2124842711 MAIL ADDRESS: STREET 1: 152 W 57 ST FL20 CITY: NEW YORK STATE: NY ZIP: 10019 SC 13G/A 1 imux-sc13ga_080620.htm AMENDMENT TO FORM SC 13G

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

Immunic, Inc.

(Name of Issuer)

Common Stock, $0.0001 par value

(Title of Class of Securities)

4525EP101

(CUSIP Number)

August 6, 2020

(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(b)

	☒	Rule 13d-1(c)

	☐	Rule 13d-1(d)

* 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).

Page 2 of 9

CUSIP No.

4525EP101

1	NAME OF REPORTING PERSONS Altium Capital Management, LP I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) EIN: 82-2066653
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP			(a) ☐ (b) ☒
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION Delaware, United States of America
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:		5	SOLE VOTING 0
		6	SHARED VOTING POWER 1,111,111 Shares of Common Stock
		7	SOLE DISPOSITIVE POWER 0
		8	SHARED DISPOSITIVE POWER 1,111,111 Shares of Common Stock
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,111,111 Shares of Common Stock
10	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES			☐
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.6%⁽¹⁾
12	TYPE OF REPORTING PERSON IA, PN

(1)

Based on 19,968,340 shares of Common Stock outstanding as of August 4, 2020 as set forth in the Issuer’s Prospectus Supplement Form 424B5 filed with the Securities and Exchange Commission on August 5, 2020.

Page 3 of 9

CUSIP No.

4525EP101

1	NAME OF REPORTING PERSONS Altium Growth Fund, LP I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) EIN: 82-2105101
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP			(a) ☐ (b) ☒
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION Delaware, United States of America
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:		5	SOLE VOTING 0
		6	SHARED VOTING POWER 1,111,111 Shares of Common Stock
		7	SOLE DISPOSITIVE POWER 0
		8	SHARED DISPOSITIVE POWER 1,111,111 Shares of Common Stock
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,111,111 Shares of Common Stock
10	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES			☐
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.6%⁽¹⁾
12	TYPE OF REPORTING PERSON PN

(1)

Page 4 of 9

CUSIP No.

4525EP101

1	NAME OF REPORTING PERSONS Altium Growth GP, LLC I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) EIN: 82-2086430
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP			(a) ☐ (b) ☒
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION Delaware, United States of America
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:		5	SOLE VOTING 0
		6	SHARED VOTING POWER 1,111,111 Shares of Common Stock
		7	SOLE DISPOSITIVE POWER 0
		8	SHARED DISPOSITIVE POWER 1,111,111 Shares of Common Stock
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,111,111 Shares of Common Stock
10	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES			☐
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.6%⁽¹⁾
12	TYPE OF REPORTING PERSON OO

(1)

Page 5 of 9

CUSIP No.

4525EP101

Item 1(a).		Name of Issuer:		Immunic, Inc. (the “Issuer”)


Item 1(b).		Address of Issuer’s Principal Executive Offices:		1200 Avenue of the Americas, Suite 200 New York, New York 10036


Item 2(a).		Name of Person Filing: This statement is jointly filed by and on behalf of each of Altium Growth Fund, LP, Altium Capital Management, LLC, and Altium Growth GP, LLC. Altium Growth Fund, LP is the record and direct beneficial owner of the securities covered by this statement. Altium Capital Management, LP is the investment adviser of, and may be deemed to beneficially own securities, owned by, Altium Growth Fund, LP. Altium Growth GP, LLC is the general partner of, and may be deemed to beneficially own securities owned by, Altium Growth Fund, LP. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, the beneficial owner of any securities covered by this statement. Each of the reporting persons may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for the purposes of Section 13(d) or 13(g) of the Act. Each of the reporting persons declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding, or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.


Item 2(b).		Address of Principal Business Office or, if None, Residence:
		The address of the principal business office of each of the reporting persons is 152 West 57 Street, FL 20, New York, NY 10019


Item 2(c).		Citizenship:
		See Item 4 on the cover page(s) hereto.


Item 2(d).		Title of Class of Securities:
		Common Stock, $0.0001 par value


Item 2(e).		CUSIP Number: 4525EP101



Item 3.	If This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a:

	(a)	☐	Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).

	(b)	☐	Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).

	(c)	☐	Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).

	(d)	☐	Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

	(e)	☐	An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

Page 6 of 9

	(f)	☐	An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

	(g)	☐	A parent holding company or control person in accordance with §240.13d-1(b)(ii)(G);

	(h)	☐	A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

	(i)	☐	A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

	(j)	☐	Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Item 4.	Ownership.
	Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. The information as of the date of the event which requires filing of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person listed above and is incorporated by reference for each such Reporting Person. The percentage set forth in Row 11 of the cover page for each Reporting Person is based on 19,968,340 shares of Common Stock outstanding as of August 4, 2020 as set forth in the Issuer’s Prospectus Supplement Form 424B5 filed with the Securities and Exchange Commission on August 5, 2020.

Page 7 of 9

CUSIP No .

4525EP101

Item 5.	Ownership of Five Percent or Less of a Class.

	If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following []

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 or Control Person.
	Not applicable


Item 8.	Identification and Classification of Members of the Group.
	Not applicable


Item 9.	Notice of Dissolution of Group.
	Not applicable

Item 10.	Certification.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

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.

	Dated:	August 10, 2020

	Altium Capital Management, LP

	By:	/s/ Jacob Gottlieb
	Name:	Jacob Gottlieb
	Title:	CEO

	Altium Growth Fund, LP

	By:	Altium Growth GP, LLC
	Its:	General Partner

	Signature:	/s/ Jacob Gottlieb
	Name:	Jacob Gottlieb
	Title:	Managing Member of Altium Growth GP, LLC

	Altium Growth GP, LLC

	By:	/s/ Jacob Gottlieb
	Name:	Jacob Gottlieb
	Title:	Managing Member

Page 8 of 9

EXHIBIT INDEX

EXHIBIT 1:

Joint Acquisition Statement Pursuant to Section 240.13d-1(k)

Members of Group

Page 9 of 9

EXHIBIT 1

JOINT ACQUISITION STATEMENT

PURSUANT TO SECTION 240.13d-1(k)

The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him, her or it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the other entities or persons, except to the extent that he, she or it knows or has reason to believe that such information is inaccurate.

	Dated:	August 10, 2020

	Altium Capital Management, LP

	By:	/s/ Jacob Gottlieb
	Name:	Jacob Gottlieb
	Title:	CEO

	Altium Growth Fund, LP

	By:	Altium Growth GP, LLC
	Its:	General Partner

	Signature:	/s/ Jacob Gottlieb
	Name:	Jacob Gottlieb
	Title:	Managing Member of Altium Growth GP, LLC

	Altium Growth GP, LLC

	By:	/s/ Jacob Gottlieb
	Name:	Jacob Gottlieb
	Title:	Managing Member