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>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
(Amendment No. 6)
Under the Securities Exchange Act of 1934
| Auris Medical Holding Ltd. |
| (Name of Issuer) |
| Common Stock, par value CHF 0.01 per share |
| (Title of Class of Securities) |
| G07025102 |
| (CUSIP Number) |
Thomas Meyer Clarendon House, 2 Church Street Hamilton HM 11, Bermuda +41 (0) 41 729 71 94 |
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) |
| October 5, 2020 |
| (Date of Event Which Requires Filing of this Statement) |
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.
*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 disclosures provided in a prior cover page.
The information required on 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).
| CUSIP No. G07025201 |
| 1. | Names of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only):
Thomas Meyer |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ |
| 3. | SEC Use Only |
| 4. | Source of Funds (See Instructions):
PF |
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): ☐
|
| 6. | Citizenship or Place of Organization:
Switzerland |
Number
of Person With |
7. | Sole Voting Power:
660,525* |
| 8. | Shared Voting Power:
0 | |
| 9. | Sole Dispositive Power:
660,525* | |
| 10. | Shared Dispositive Power:
0 |
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person:
660,525* |
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): ☐
|
| 13. | Percent of Class Represented by Amount in Row (11):
9.2%* |
| 14. | Type of Reporting Person (See Instructions):
IN |
| * | The foregoing beneficial ownership percentage is based upon 7,089,512 common shares, par value CHF 0.01 per share (the “Common Shares”) of Auris Medical Holding Ltd., a Bermuda corporation (the “Issuer”), issued and outstanding as of October 5, 2020, based on information from the Issuer. Reporting Person beneficially owns 660,525 Common Shares consisting of 569,031 Common Shares and warrants and options to purchase up to 91,494 Common Shares exercisable within 60 days of the date hereof. |
1
Explanatory Note
This Amendment No. 5 (the “Amendment”) amends and supplements the Schedule 13D filed by the Reporting Person (as defined in the Schedule 13D) with the Securities and Exchange Commission (the “SEC”) on April 3, 2018, as amended on July 23, 2018 as further amended on November 21, 2018, as further amended on June 13, 2018, as further amended on August 12, 2019, and as further amended on August 20, 2020 (the “Schedule 13D”). Except as specifically provided herein, this Amendment does not modify or amend any of the information previously reported in the Schedule 13D. Capitalized terms used and not otherwise defined herein shall have the meanings ascribed to such terms in the Schedule 13D.
Item 1. Security and Issuer.
Item 1 of the Schedule 13D is hereby amended by deleting it in its entirety and substituting the following in lieu thereof:
This Schedule 13D relates to common shares, par value CHF 0.01 per share (the “Common Shares”) of Auris Medical Holding Ltd., a Bermuda corporation (the “Issuer”). The principal executive offices of the Issuer are located at Clarendon House, 2 Church Street, Hamilton HM 11, Bermuda.
| Item 3. | Source and Amount of Funds or Other Consideration |
Item 3 of the Schedule 13D is hereby supplemented by adding the following:
On September 23, 2020, the Reporting Person purchased 44,500 Common Shares at a purchase price of $0.7655 per share for a total of $34,063.00. Reporting Person purchased these Common Shares with personal funds.
On September 24, 2020, the Reporting Person purchased 20,000 Common Shares at a purchase price of $0.7463 per share for a total of $14,925.00. Reporting Person purchased these Common Shares with personal funds.
On September 25, 2020, the Reporting Person purchased 7,005 Common Shares at a purchase price of $0.7752 per share for a total of $5,430.00. Reporting Person purchased these Common Shares with personal funds.
On September 28, 2020, the Reporting Person purchased 26,000 Common Shares at a purchase price of $0.7829 per share for a total of $20,356.00. Reporting Person purchased these Common Shares with personal funds.
On October 1, 2020, the Reporting Person purchased 14,193 Common Shares at a purchase price of $0.797 per share for a total of $11,312.00. Reporting Person purchased these Common Shares with personal funds.
On October 2, 2020, the Reporting Person purchased 14,357 Common Shares at a purchase price of $0.7879 per share for a total of $11,311.00. Reporting Person purchased these Common Shares with personal funds.
On October 5, 2020, the Reporting Person purchased 1,558 Common Shares at a purchase price of $0.7836 per share for a total of $1,221.00. Reporting Person purchased these Common Shares with personal funds.
The Reporting Person has not borrowed any funds to effectuate the transactions whereby he received the securities that are the subject of this filing on Schedule 13D.
| Item 5. | Interest in Securities of the Issuer |
Item 5 of the Schedule 13D is hereby amended by deleting it in its entirety and substituting the following in lieu thereof:
| (a) | The information contained on the cover pages to this Schedule 13D/A is hereby incorporated herein by reference. As of the Filing Date there are 7,089,512 Common Shares outstanding. The Reporting Person beneficially owns 660,525 Common Shares including Common Shares that the Reporting Person has the right to acquire within 60 days of the Filing Date upon exercise of outstanding options and warrants. |
| (b) | The Reporting Person holds sole power to vote and dispose over all of the Common Shares of the Issuer that he beneficially owns. |
| (c) | The information provided in Item 3 and Item 4 is incorporated by reference herein. |
| (d) | Not applicable. |
| (e) | Not applicable. |
Except as described herein, during the past sixty (60) days on or prior to October 5, 2020 (the “Event Date”), and from the Event Date to the Filing Date, there were no other purchases or sales of Common Shares, or securities convertible into or exchangeable for Common Shares, by the Reporting Persons or any person or entity for which the Reporting Persons possess voting or dispositive control over the securities thereof.
2
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.
Dated: October 6, 2020
| /s/ Thomas Meyer | |
| Thomas Meyer |
Attention:
Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001).
3