0001567619-18-007011.txt : 20181127 0001567619-18-007011.hdr.sgml : 20181127 20181127195059 ACCESSION NUMBER: 0001567619-18-007011 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181123 FILED AS OF DATE: 20181127 DATE AS OF CHANGE: 20181127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ibex Investors LLC CENTRAL INDEX KEY: 0001531964 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20190 FILM NUMBER: 181203990 BUSINESS ADDRESS: STREET 1: 3200 CHERRY CREEK SOUTH DRIVE STREET 2: SUITE 670 CITY: DENVER STATE: CO ZIP: 80209 BUSINESS PHONE: 303-500-8821 MAIL ADDRESS: STREET 1: 3200 CHERRY CREEK SOUTH DRIVE STREET 2: SUITE 670 CITY: DENVER STATE: CO ZIP: 80209 FORMER NAME: FORMER CONFORMED NAME: Lazarus Management Co LLC DATE OF NAME CHANGE: 20111004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BORUS JUSTIN B CENTRAL INDEX KEY: 0001531960 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20190 FILM NUMBER: 181203991 MAIL ADDRESS: STREET 1: 3200 CHERRY CREEK SOUTH DRIVE STREET 2: SUITE 670 CITY: DENVER STATE: CO ZIP: 80209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ibex Microcap Fund LLLP CENTRAL INDEX KEY: 0001232118 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20190 FILM NUMBER: 181203992 BUSINESS ADDRESS: STREET 1: C/O IBEX INVESTORS LLC STREET 2: 3200 CHERRY CREEK SOUTH DRIVE, SUITE 670 CITY: DENVER STATE: CO ZIP: 80209 BUSINESS PHONE: (303) 500-8821 MAIL ADDRESS: STREET 1: C/O IBEX INVESTORS LLC STREET 2: 3200 CHERRY CREEK SOUTH DRIVE, SUITE 670 CITY: DENVER STATE: CO ZIP: 80209 FORMER NAME: FORMER CONFORMED NAME: LAZARUS INVESTMENT PARTNERS LLLP DATE OF NAME CHANGE: 20030512 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lazarus Macro Micro Partners LLLP CENTRAL INDEX KEY: 0001639757 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20190 FILM NUMBER: 181203993 BUSINESS ADDRESS: STREET 1: 3200 CHERRY CREEK SOUTH DRIVE STREET 2: SUITE 670 CITY: DENVER STATE: CO ZIP: 80209 BUSINESS PHONE: 303-500-8821 MAIL ADDRESS: STREET 1: 3200 CHERRY CREEK SOUTH DRIVE STREET 2: SUITE 670 CITY: DENVER STATE: CO ZIP: 80209 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aeon Global Health Corp. CENTRAL INDEX KEY: 0000885074 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 141673067 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 2225 CENTENNIAL DRIVE CITY: GAINESVILLE STATE: 2Q ZIP: 30504 BUSINESS PHONE: 888-661-0225 MAIL ADDRESS: STREET 1: 2225 CENTENNIAL DRIVE CITY: GAINESVILLE STATE: 2Q ZIP: 30504 FORMER COMPANY: FORMER CONFORMED NAME: AUTHENTIDATE HOLDING CORP DATE OF NAME CHANGE: 20010327 FORMER COMPANY: FORMER CONFORMED NAME: BITWISE DESIGNS INC DATE OF NAME CHANGE: 19930328 3 1 doc1.xml FORM 3 X0206 3 2018-11-23 0 0000885074 Aeon Global Health Corp. AGHC 0001531964 Ibex Investors LLC 3200 CHERRY CREEK SOUTH DRIVE SUITE 670 DENVER CO 80209 0 0 1 0 0001531960 BORUS JUSTIN B 3200 CHERRY CREEK SOUTH DRIVE SUITE 670 DENVER CO 80209 0 0 1 0 0001232118 Ibex Microcap Fund LLLP 3200 CHERRY CREEK SOUTH DRIVE SUITE 670 DENVER CO 80209 0 0 1 0 0001639757 Lazarus Macro Micro Partners LLLP 3200 CHERRY CREEK SOUTH DRIVE SUITE 670 DENVER CO 80209 0 0 1 0 Common Stock 452974 I By: Ibex Microcap Fund LLLP Common Stock 833 I By: Lazarus Macro Micro Partners LLLP Series D Convertible Preferred Stock 9.77 2013-12-20 Common Stock 204679 I By: Ibex Microcap Fund LLLP Warrant (right to buy) 2.70 2019-01-27 2024-07-27 Common Stock 111111 I By: Ibex Microcap Fund LLLP Warrant (right to buy) 2.25 2019-01-21 2022-12-15 Common Stock 451567 I By: Ibex Microcap Fund LLLP Warrant (right to buy) 2.25 2019-01-21 2022-12-15 Common Stock 39682 I By: Ibex Microcap Fund LLLP Warrant (right to buy) 2.25 2019-01-21 2022-12-15 Common Stock 138889 I By: Ibex Microcap Fund LLLP Warrant (right to buy) 2.25 2019-01-21 2022-12-15 Common Stock 36667 I By: Ibex Microcap Fund LLLP Warrant (right to buy) 2.25 2019-01-21 2022-12-15 Common Stock 25822 I By: Ibex Microcap Fund LLLP These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. These securities reported herein are owned directly by Lazarus Macro Micro Partners LLLP ("Macro Micro"). Ibex is the investment adviser and general partner of Macro Micro. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 3 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. The Series D Convertible Preferred Stock is subject to optional conversion at the election of the holder and mandatory conversion at the election of the Issuer, and is also subject to redemption at the election of the Issuer, in each case subject to the restrictions, terms and conditions set forth in the Series D Convertible Preferred Stock Certificate of Designations (including without limitation the restriction described in Footnote (6) hereof). There is no expiration date for conversion of the Series D Convertible Preferred Stock. The Series D Convertible Preferred Stock is not convertible to the extent that, after giving effect to the conversion, the holder (together with its affiliates, and any persons acting as a group together with such holder or any of such holder's affiliates) would beneficially own in excess of the Beneficial Ownership Limitation (as defined below) as a result of such conversion. The "Beneficial Ownership Limitation" shall be 4.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the conversion. A holder, upon not less than sixty-one (61) days' prior notice to the Issuer, may increase or decrease the Beneficial Ownership Limitation provided that the Beneficial Ownership Limitation in no event exceeds 19.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the conversion unless any issuances in excess of such limitation are approved by the Issuer's common stockholders. These Warrants become exercisable upon the expiration of certain lock-up restrictions as set forth in a Lockup Agreement executed with the Issuer. These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 4.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice not to exceed 9.99%; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 4.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may waive the Maximum Percentage, as applied to the holder, provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. The Warrants are not exercisable to the extent that such exercise would result in the holder (together with its affiliates, and any persons acting as a group together with such holder or any of such holder's affiliates) beneficially owning in excess of 19.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the exercise unless any issuances in excess of such limitation are approved by the Issuer's common stockholders. These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.8% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may waive the Maximum Percentage, as applied to the holder, provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. The Warrants are not exercisable to the extent that such exercise would result in the holder (together with its affiliates, and any persons acting as a group together with such holder or any of such holder's affiliates) beneficially owning in excess of 19.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the exercise unless any issuances in excess of such limitation are approved by the Issuer's common stockholders. These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.98% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may waive the Maximum Percentage, as applied to the holder, provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. The Warrants are not exercisable to the extent that such exercise would result in the holder (together with its affiliates, and any persons acting as a group together with such holder or any of such holder's affiliates) beneficially owning in excess of 19.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the exercise unless any issuances in excess of such limitation are approved by the Issuer's common stockholders. These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may waive the Maximum Percentage, as applied to the holder, provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. The Warrants are not exercisable to the extent that such exercise would result in the holder (together with its affiliates, and any persons acting as a group together with such holder or any of such holder's affiliates) beneficially owning in excess of 19.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the exercise unless any issuances in excess of such limitation are approved by the Issuer's common stockholders. These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 4.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may waive the Maximum Percentage, as applied to the holder, provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. /s/ Justin B. Borus (for himself and on behalf of Ibex (for itself and on behalf of the Funds) 2018-11-27