Amended Statement of Beneficial Ownership (sc 13d/a)
February 09 2021 - 04:16PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE
COMMISSION
WASHINGTON, DC
20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT
TO RULE 13d-2(a)
(Amendment No. 6)
AGEX THERAPEUTICS, INC.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
00848H108
(CUSIP number)
David Ellam
c/o Juvenescence Limited
18 Athol Street
Douglas
Isle of Man IM1 1JA
+441624639393
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
February 5, 2021
(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 which is the subject of this Schedule
13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f)
or 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 Rule 13d-7(b) for other parties to whom copies are to be
sent.
The information required on the remainder of this cover page shall
not be deemed “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 or otherwise subject to the
liabilities of that section of the Act by shall be subject to all
other provisions of the Act (however, see the
Notes).
1. |
NAME OF REPORTING PERSON
Juvenescence Limited
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2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ¨ (b) ¨
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3. |
SEC USE ONLY |
4. |
SOURCE OF FUNDS
WC
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5. |
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e)
¨
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6. |
CITIZENSHIP OR PLACE OF ORGANIZATION
Isle of Man
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH |
7. |
SOLE VOTING POWER
23,531,027
|
8. |
SHARED VOTING POWER
0
|
9. |
SOLE DISPOSITIVE POWER
23,531,027
|
10. |
SHARED DISPOSITIVE POWER
0
|
11. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
23,531,027
|
12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
¨
|
13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
52.6%
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14. |
TYPE OF REPORTING PERSON
CO
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|
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SCHEDULE 13D
This amendment (the “Amendment”) amends and supplements the
beneficial ownership statement on Schedule 13D filed with the
Securities and Exchange Commission on August 16, 2019 (as amended
by Amendment No. 1 filed April 6, 2020, Amendment No. 2 filed July
31, 2020, Amendment No. 3 filed October 7, 2020, Amendment No. 4
filed November 11, 2020 and Amendment No. 5 filed January 12, 2021,
the “Original Statement”). The Original Statement, as amended by
this Amendment (the “Statement”) is filed on behalf of Juvenescence
Limited, an Isle of Man company (the “Reporting Person”), and
relates to the shares of Common Stock of AgeX Therapeutics, Inc.,
par value $0.0001 per share (the “Common Stock”).
Capitalized terms used but not defined in this Amendment have the
meanings ascribed to them in the Original Statement. This Amendment
amends the Original Statement as specifically set forth herein.
Except as set forth below, all previous Items in the Original
Statement remain unchanged.
Item 5. |
Interest in Securities of the
Issuer. |
Item 5 of the Original Statement is hereby amended and restated in
its entirety to read as follows:
(a) The Reporting Person
beneficially owns an aggregate of 23,531,027 shares of Common
Stock, representing (i) 16,447,500 shares of Common Stock held
directly, (ii) 150,000 shares of Common Stock that may be acquired
on exercise of the Warrant issued in August 2019 under the Loan
Agreement, (iii) 3,362,098 shares of common stock that may be
acquired on exercise of Warrants issued or to be issued in
connection with advances under the New Facility (as defined under
Item 6) and (iv) an additional 3,571,429 shares of Common Stock
that may be issued upon conversion of outstanding amounts under the
New Facility at the closing price of the Common Stock on February
5, 2021 and assuming exercise of all Warrants. This aggregate
amount represents approximately 52.6% of the Issuer’s outstanding
common stock, based upon 37,691,047 shares outstanding as of
January 22, 2021, as reported on the Issuer’s Registration
Statement filed on Form S-3/A on January 26, 2021, and giving
effect to the exercise of the Warrants and conversion of amounts
outstanding under the New Facility. Such Registration Statement
registers 16,447,500 shares of Common Stock and 3,248,246 shares
underlying certain Warrants held by Reporting Person for resale and
was declared effective by the SEC on January 29, 2021.
(b) The information in
Items 7 through 10 of each cover page is incorporated by reference
into this Item 5(b).
(c) Except for the
information set forth in Item 6, which is incorporated by reference
into this Item 5(c), the Reporting Persons have effected no
transactions relating to the Common Stock during the past 60
days.
(d) - (e) Not applicable.
Item 6. |
Contracts, Arrangements, Understandings or
Relationships with Respect to Securities of the
Issuer. |
Item 6 of the Original Statement is hereby supplemented as
follows:
On January 25, 2021, the Reporting Person funded an additional
advance to the Issuer, representing the Seventh Advance under the
New Facility, in the principal amount of $1,000,000. On February 5,
2021, following notification by NYSE American that the Issuer’s
supplemental listing application for the additional Warrant shares
had been approved, the Issuer issued to the Reporting Person a
Warrant to purchase 263,852 shares of Common Stock at an exercise
price of $1.895 per share, representing the last closing price of
the Common Stock on the NYSE American market prior to the drawdown
notice, issuable under Clause 3.6 of the New Facility.
SIGNATURES
After reasonable inquiry and to the best of their knowledge and
belief, the undersigned certify that the information set forth in
this Statement is true, complete and correct.
Date: February 8, 2021
JUVENESCENCE
LIMITED |
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By: |
/s/ Gregory H. Bailey |
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Name: |
Gregory
H. Bailey |
|
Title: |
President |
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