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