0000902664-18-000218.txt : 20180116 0000902664-18-000218.hdr.sgml : 20180116 20180116124936 ACCESSION NUMBER: 0000902664-18-000218 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180116 DATE AS OF CHANGE: 20180116 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Auris Medical Holding AG CENTRAL INDEX KEY: 0001601936 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88281 FILM NUMBER: 18528084 BUSINESS ADDRESS: STREET 1: FALKNERSTRASSE 4 CITY: 4001 BASEL STATE: V8 ZIP: 00000 BUSINESS PHONE: 41 (0)61 201 13 50 MAIL ADDRESS: STREET 1: FALKNERSTRASSE 4 CITY: 4001 BASEL STATE: V8 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: Auris Medical AG DATE OF NAME CHANGE: 20140306 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Empery Asset Management, LP CENTRAL INDEX KEY: 0001469336 IRS NUMBER: 262107121 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1 ROCKEFELLER PLAZA, SUITE 1205 CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-608-3300 MAIL ADDRESS: STREET 1: 1 ROCKEFELLER PLAZA, SUITE 1205 CITY: NEW YORK STATE: NY ZIP: 10020 SC 13G/A 1 p18-0135sc13ga.htm EMPERY ASSET MANAGEMENT, LP

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
 
SCHEDULE 13G
 
 
 
Under the Securities Exchange Act of 1934
 
(Amendment No. 1)*
 

Auris Medical Holding AG

(Name of Issuer)
 

Common Shares, nominal value CHF 0.40 per share

(Title of Class of Securities)
 

H03579101

(CUSIP Number)
 

December 31, 2017

(Date of event which requires filing of this statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed:
 
☐ Rule 13d-1(b)
☒ Rule 13d-1(c)
☐ Rule 13d-1(d)
 
(Page 1 of 6 Pages)

 

 

*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).

 

 
CUSIP No. H0357910113GPage 2 of 6 Pages

 

1

NAMES OF REPORTING PERSONS

Empery Asset Management, LP

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐

(b) ☐

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH		 5

SOLE VOTING POWER

  

6

SHARED VOTING POWER

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

10

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

 

 ☐
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

3.80% (See Item 4)

12

TYPE OF REPORTING PERSON

PN

         

 

 
CUSIP No. H0357910113GPage 3 of 6 Pages

 

1

NAMES OF REPORTING PERSONS

Ryan M. Lane

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐

(b) ☐

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH		 5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

10

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

 

 ☐
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

3.80% (See Item 4)

12

TYPE OF REPORTING PERSON

IN

         

 

 
CUSIP No. H0357910113GPage 4 of 6 Pages

 

1

NAMES OF REPORTING PERSONS

Martin D. Hoe

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐

(b) ☐

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH		 5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,750,000 Common Shares issuable upon exercise of Warrants (See Item 4)

 

10

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

 

 ☐
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

3.80% (See Item 4)

12

TYPE OF REPORTING PERSON

IN

         

 

 
CUSIP No. H0357910113GPage 5 of 6 Pages

 

This Amendment No. 1 (this “Amendment”) amends the statement on Schedule 13G filed on February 17, 2017 (the “Original Schedule 13G”, as amended, the “Schedule 13G”), with respect to Common Shares, nominal value CHF 0.40 per share (the “Common Shares”), of Auris Medical Holding AG (the “Company”). Capitalized terms used herein and not otherwise defined in this Amendment have the meanings set forth in the Schedule 13G. This Amendment amends and restates Items 4 and 5 in their entirety as set forth below. 

 

Item 4. OWNERSHIP.
   
 

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 hereto and is incorporated herein 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 44,329,704 Common Shares issued and outstanding as of October 10, 2017, as represented in the Company’s Prospectus Supplement filed with the Securities and Exchange Commission on October 19, 2017 pursuant to Rule 424(b)(3) and assumes the exercise of the Company’s reported warrants (the “Reported Warrants”). 

 

The Investment Manager, which serves as the investment manager to the Empery Funds, may be deemed to be the beneficial owner of all Common Shares underlying the Reported Warrants held by the Empery Funds. Each of the Reporting Individuals, as Managing Members of the General Partner of the Investment Manager with the power to exercise investment discretion, may be deemed to be the beneficial owner of all Common Shares underlying the Reported Warrants held by the Empery Funds. The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of Common Shares owned by another Reporting Person. Each of the Empery Funds and the Reporting Individuals hereby disclaims any beneficial ownership of any such Common Shares. 

   
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: ☒

 

 
CUSIP No. H0357910113GPage 6 of 6 Pages

 

SIGNATURES

 

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

DATED: January 16, 2018

     
  EMPERY ASSET MANAGEMENT, LP  
  By: EMPERY AM GP, LLC, its General Partner  
     
  By:   /s/ Ryan M. Lane  
  Name:  Ryan M. Lane  
  Title:  Managing Member  
     
    /s/ Ryan M. Lane  
  Ryan M. Lane  
     
    /s/ Martin D. Hoe  
  Martin D. Hoe