Amended Statement of Ownership (sc 13g/a)

Date : 02/14/2020 @ 9:38PM
Source : Edgar (US Regulatory)
Stock : Anavex Life Sciences Corporation (AVXL)
Quote : 2.62  0.0 (0.00%) @ 5:00AM
After Hours
Last Trade
Last $ 2.62 ◊ 0.00 (0.00%)

Amended Statement of Ownership (sc 13g/a)

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

 

 

Under the Securities Exchange Act of 1934

(Amendment No. 3)*

 

 

ANAVEX LIFE SCIENCES CORP.

(Name of Issuer)

 

Common Stock, $0.001 par value per share

(Title of Class of Securities)

 

032797300

 

(CUSIP Number)

 

December 31, 2019

(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)

[X] Rule 13d-1(c)

[   ] Rule 13d-1(d)

  

 

* 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.  032797300
(1) Names of Reporting Persons
  Park West Asset Management LLC  
(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: 0    
  (6) Shared Voting Power: 3,370,000*  
  (7) Sole Dispositive Power: 0    
  (8) Shared Dispositive Power: 3,370,000*  
       
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
  3,370,000*  
(10) Check if the Aggregate Amount  in Row (9) Excludes Certain Shares (See Instructions):
  [    ]  
(11) Percent of Class Represented by Amount in Row (9)
  6.0%*  
(12) Type of Reporting Person (See Instructions):
  IA  
               
                 

* See Item 4 for additional information.

 

  

CUSIP No.  032797300
(1) Names of Reporting Persons
  Park West Investors Master Fund, Limited  
(2) Check the Appropriate Box if a Member of a Group (a) [    ]  
  (b) [    ]  
(3) SEC Use Only
(4) Citizenship or Place of Organization
  Cayman Islands  
Number of Shares Beneficially Owned by Each Reporting Person With
  (5) Sole Voting Power: 0    
  (6) Shared Voting Power: 3,058,954*  
  (7) Sole Dispositive Power: 0    
  (8) Shared Dispositive Power: 3,058,954*  
       
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
  3,058,954*  
(10) Check if the Aggregate Amount  in Row (9) Excludes Certain Shares (See Instructions):
  [    ]  
(11) Percent of Class Represented by Amount in Row (9)
  5.5%*  
(12) Type of Reporting Person (See Instructions):
  CO  
               

* See Item 4 for additional information.

 

 
 

  

CUSIP No.  032797300
(1) Names of Reporting Persons
  Peter S. Park  
(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 of America  
Number of Shares Beneficially Owned by Each Reporting Person With
  (5) Sole Voting Power: 0    
  (6) Shared Voting Power: 3,370,000*  
  (7) Sole Dispositive Power: 0    
  (8) Shared Dispositive Power: 3,370,000*  
       
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
  3,370,000*  
(10) Check if the Aggregate Amount  in Row (9) Excludes Certain Shares (See Instructions):
  [    ]  
(11) Percent of Class Represented by Amount in Row (9)
  6.0%*  
(12) Type of Reporting Person (See Instructions):
  IN  
               

* See Item 4 for additional information.

 

 
 

 

Item 1(a).  Name of Issuer:  Anavex Life Sciences Corp. (the “Company”)
   
Item 1(b).  Address of Issuer’s Principal Executive Offices:
 

51 W 52nd Street, 7th Floor

New York, NY 10019

 

Item 2(a).  Name of Person Filing:
  This report on Schedule 13G (this “Schedule 13G”) is being jointly filed by (i) Park West Asset Management LLC, a Delaware limited liability company (“PWAM”), (ii) Park West Investors Master Fund, Limited, a Cayman Islands exempted company (“PWIMF”) and (iii) Peter S. Park (“Mr. Park” and, collectively with PWAM and PWIMF, the “Reporting Persons”).  
Item 2(b).  Address of Principal Business Office or, if None, Residence:
 

The address for the Reporting Persons is:  900 Larkspur Landing Circle, Suite 165, Larkspur, California 94939.

Item 2(c).  Citizenship:
 

PWAM is organized under the laws of the State of Delaware. PWIMF is a Cayman Islands exempted company. Mr. Park is a citizen of the United States.  

Item 2(d).  Title of Class of Securities:
  Common Stock, $0.001 par value per share (“Common Stock”).
Item 2(e).  CUSIP No.:
  032797300

 

 

Item 3.  If This Statement Is Filed Pursuant to Rules 13d-1(b) or 13d-2(b) or (c), Check Whether the Person Filing is a:  
  Not Applicable.  

Item 4.  Ownership: 

 
  As reported in the cover pages to this report, the ownership information with respect to each of PWAM and Mr. Park is as follows:      

 

  (a)     Amount Beneficially Owned: 3,370,000*    
  (b)     Percent of Class: 6.0%*    
  (c)     Number of Shares as to which such person has:      
  (i)     Sole power to vote or to direct the vote: 0    
  (ii)    Shared power to vote or to direct the vote: 3,370,000*  
  (iii)   Sole power to dispose or to direct the disposition of: 0    
  (iv)   Shared power to dispose or to direct the disposition of: 3,370,000*  
           

 

  As reported in the cover pages to this report, the ownership information with respect to PWIMF is as follows:      
  (a)     Amount Beneficially Owned: 3,058,954*    
  (b)     Percent of Class: 5.5%*    
  (c)     Number of Shares as to which such person has:      
  (i)     Sole power to vote or to direct the vote: 0    
  (ii)    Shared power to vote or to direct the vote: 3,058,954*  
  (iii)   Sole power to dispose or to direct the disposition of: 0    
  (iv)   Shared power to dispose or to direct the disposition of: 3,058,954*  
           

* PWAM is the investment manager to PWIMF and Park West Partners International, Limited, a Cayman Islands exempted company (collectively, the “PW Funds”). Mr. Park is the sole member and manager of PWAM. As of December 31, 2019, PWAM and Mr. Park may be deemed to beneficially own 3,370,000 shares of Common Stock held in the aggregate by the PW Funds.

 

The reported beneficial ownership percentage is based upon approximately 56,123,076 shares of Common Stock issued and outstanding as of December 12, 2019, based on information reported by the Company in its Annual Report on Form 10-K filed with the Securities and Exchange Commission on December 16, 2019.

 

 

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:  [    ]
Item 6.  Ownership of More Than Five Percent on Behalf of Another Person:
  Not Applicable.
Item 7.  Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:
          Not Applicable.
Item 8.  Identification and Classification of Members of the Group:
          Not Applicable.
Item 9.  Notice of Dissolution of Group:
          Not Applicable.
Item 10.  Certification:
  By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 
 

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.

 

  February 14, 2020  
     
  PARK WEST ASSET MANAGEMENT LLC  
     
     
  By: /s/ Grace Jimenez  
  Name: Grace Jimenez  
  Title: Chief Financial Officer  

 

     
     
  PARK WEST INVESTORS MASTER FUND, LIMITED  
       
       

 

 

 By:   Park West Asset Management LLC, its

         Investment Manager

 
     
     
  By: /s/ Grace Jimenez  
  Name: Grace Jimenez  
  Title: Chief Financial Officer  
     
     

 

      /s/ Peter S. Park  
      Peter S. Park  
         
         

 

Attention: Intentional misstatements or omissions of fact constitute

Federal criminal violations (See 18 U.S.C. 1001)

 

   

 

 
 

Exhibit Index

 

Exhibit

 

1.    Joint Filing Agreement dated as of February 14, 2018 by and among Park West Asset Management LLC, Park West Investors Master Fund, Limited and Peter S. Park (incorporated by reference to Exhibit A to the Schedule 13G filed with the Securities and Exchange Commission on February 14, 2018).

 

 

 

 

Anavex Life Sciences (NASDAQ:AVXL)
Historical Stock Chart

1 Year : From Apr 2019 to Apr 2020

Click Here for more Anavex Life Sciences Charts.

Anavex Life Sciences (NASDAQ:AVXL)
Intraday Stock Chart

Today : Sunday 5 April 2020

Click Here for more Anavex Life Sciences Charts.

Latest AVXL Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts


Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.


NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.