Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
What is insider trading>>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
GeoVax Labs, Inc. |
(Name of Issuer) |
|
Common Stock, $0.001 par value |
(Title of Class of Securities) |
|
373678507 |
(CUSIP Number) |
|
September 25, 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 and Exchange Act of 1934 (the “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).
CUSIP No. 373678507 |
| 13G |
| Page 2 of 5 Pages |
1 | NAME OF REPORTING PERSONS | ||
|
| ||
| L1 Capital Global Opportunities Master Fund Ltd. | ||
2 | CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP | ||
|
(a) ☐ | ||
| (b) ☐ | ||
3 | SEC USE ONLY | ||
|
| ||
|
| ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
|
| ||
| Cayman Islands | ||
| 5 | SOLE VOTING POWER | |
|
|
| |
|
| 383,948 shares of Common Stock(1)(2) | |
NUMBER OF | 6 | SHARED VOTING POWER | |
SHARES |
|
| |
BENEFICIALLY |
| 0 | |
OWNED BY | 7 | SOLE DISPOSITIVE POWER | |
EACH REPORTING |
|
| |
PERSON WITH |
| 383,948 shares of Common Stock(1)(2) | |
| 8 | SHARED DISPOSITIVE POWER | |
|
|
| |
|
| 0 | |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
|
| ||
| 383,948 shares of Common Stock(1)(2) | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ||
|
☐ | ||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||
|
| ||
| 9.9%(3) | ||
12 | TYPE OF REPORTING PERSON | ||
|
FI | ||
|
|
|
|
(1) The reporting person purchased units containing (a) 280,000 shares of Common Stock and (b) 280,000 Warrants (the “Warrants”); however, due to a 9.9% beneficial ownership limitation contained in the Warrants, the reporting person’s beneficial ownership of the Common Stock is currently limited to 103,948 shares issuable upon exercise of the Warrants.
(2) David Feldman and Joel Arber are both the directors of L1 Capital Global Opportunities Master Fund Ltd. As such they each individually have sole dispositive and voting power.
(3) The reporting person has not acquired the securities with any purpose, or with the eff ect, of changing or influencing the control of the Issuer, or in connection with or as a participant in any transaction having that purpose or effect, including any transaction subject to Rule 13d-3(b), other than activities solely in connection with a nomination under Rule 14a-11.
CUSIP No. 373678507 |
| 13G |
| Page 3 of 5 Pages |
Item 1. Security and Issuer.
| (a) | Name of Issuer: |
GeoVax Labs, Inc.
| (b) | Address of Issuer: |
1900 Lake Park Drive, Suite 380,
Smyrna, Georgia 30080
Item 2. Identity and Background.
(a) | Name of Person Filing: |
|
|
| L1 Capital Global Opportunities Master Fund, Ltd. |
|
|
(b) | Address of Principal Business Office or, if none, Residence: |
|
|
| 161A Shedden Road, 1 Artillery Court PO Box 10085 Grand Cayman, Cayman Islands KY1-1001 |
|
|
(c) | Citizenship or Place of Organization: |
|
|
| Cayman Islands |
|
|
(d) | Title of Class of Securities: |
|
|
| Common Stock, $0.001 par value |
|
|
(e) | CUSIP Number: |
|
|
| 373678507 |
Item 3.
Not applicable.
CUSIP No. 373678507 |
| 13G |
| Page 4 of 5 Pages |
Item 4. Ownership.
| (a) | The information required by Items 4(a)-(c) is set forth in Rows (5)-(9) and Row (11) of the cover page and is incorporated herein by reference. |
| (b) | The percentage set forth on Row (11) of the cover page for the Reporting Person is based on 3,839,472 shares of Common Stock outstanding. |
| (c) | David Feldman and Joel Arber are the Directors of L1 Capital Global Opportunities Master Fund Ltd. As such, L1 Capital Global Opportunities Master Fund Ltd, Mr. Feldman and Mr. Arber may be deemed to beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) 383.948 shares of Common Stock. To the extent Mr. Feldman and Mr. Arber are deemed to beneficially own such shares, Mr. Feldman and Mr. Arber disclaim beneficial ownership of these securities for all other purposes. |
| (d) | The Reporting Person is a beneficial owner of 383,948 shares of Common Stock. |
Item 5. | Ownership of 5 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 5 percent of the class of securities, check the following o |
Item 6. | Ownership of More than 5 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. | Certifications.
|
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 Rule 14a-11.
CUSIP No. &# xA0;373678507 |
| 13G |
| Page 5 of 5 Pages |
SIGNATURES
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.
|
| |
| By: | L1 Capital Global Opportunities Master Fund Ltd. |
|
|
|
September 30, 2020 | By: | /s/ David Feldman |
|
| David Feldman, Director |