Amended Statement of Ownership (sc 13g/a)
February 08 2019 - 1:51PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of
1934
(Amendment No. 1)*
Superconductor Technologies Inc.
(Name of Issuer)
Common Stock, $0.001 par value per share
(Title of Class of Securities)
867931602
(CUSIP Number)
December 31, 2018
(Date of Event Which Requires Filing of
this Statement)
Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
*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.
867931602
1.
|
Names
of Reporting Persons.
Mitchell
P. Kopin
|
2.
|
Check
the Appropriate Box if a Member of a Group (See Instructions)
(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
340,151
|
7.
|
Sole Dispositive Power
0
|
8.
|
Shared Dispositive Power
340,151
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting
Person
340,151 (see Item 4)
|
10.
|
Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions) ☐
|
11.
|
Percent of Class Represented by Amount in Row (9)
9.99% (see Item 4)
|
12.
|
Type of Reporting Person (See Instructions)
IN; HC
|
CUSIP No.
867931602
1.
|
Names of Reporting Persons.
Daniel B. Asher
|
2.
|
Check the Appropriate Box if a Member of a Group (See
Instructions)
(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
340,151
|
7.
|
Sole Dispositive Power
0
|
8.
|
Shared Dispositive Power
340,151
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting
Person
340,151 (see Item 4)
|
10.
|
Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions) ☐
|
11.
|
Percent of Class Represented by Amount in Row (9)
9.99% (see Item 4)
|
12.
|
Type of Reporting Person (See Instructions)
IN; HC
|
CUSIP No.
867931602
1.
|
Names of Reporting Persons.
Intracoastal Capital LLC
|
2.
|
Check the Appropriate Box if a Member of a Group (See
Instructions)
(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
340,151
|
7.
|
Sole Dispositive Power
0
|
8.
|
Shared Dispositive Power
340,151
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting
Person
340,151 (see Item 4)
|
10.
|
Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions) ☐
|
11.
|
Percent of Class Represented by Amount in Row (9)
9.99% (see Item 4)
|
12.
|
Type of Reporting Person (See Instructions)
OO
|
This Amendment No. 1
is being filed jointly by the Reporting Persons and amends the Schedule 13G initially filed by the Reporting Persons with
the Securities and Exchange Commission (the “
SEC
”) on August 3, 2018 (the “
Schedule 13G
”).
Except as set forth
below, all Items of the Schedule 13G remain unchanged. All capitalized terms not otherwise defined herein shall have the meanings
ascribed to such terms in the Schedule 13G.
Item
4. Ownership.
(a) and (b):
As of the
close of business on December 31, 2018, each of the Reporting Persons may have been deemed
to have
beneficial ownership of
340,151
shares of Common Stock
, which consisted of (i) 205,839
shares of Common Stock held by Intracoastal and (ii) 134,312 shares of Common Stock issuable upon exercise of Intracoastal Warrant
1
,
and all such shares of Common Stock in the aggregate represented beneficial ownership
of approximately
9.99
% of the Common Stock,
based on
(1)
3,270,609
shares of
Common Stock outstanding on November
30, 2018 as reported by the Issuer, plus (2)
134,312 shares of Common Stock issuable upon exercise of Intracoastal Warrant
1. The foregoing excludes (I) 222,831 shares of Common Stock issuable upon exercise of Intracoastal Warrant 1 because Intracoastal
Warrant 1 contains a blocker provision under which the holder thereof does not have the right to exercise Intracoastal Warrant
1 to the extent (but only to the extent) that such exercise would result in beneficial ownership by the holder thereof, together
with its affiliates and any other persons acting as a group together with the holder or any of the holder’s affiliates, of
more than 9.99% of the Common Stock,
(II)
2,961 shares of Common Stock issuable upon exercise
of Intracoastal Warrant 3 because Intracoastal Warrant 3 contains a blocker provision under which the holder thereof does not have
the right to exercise Intracoastal Warrant 3 to the extent (but only to the extent) that such exercise would result in beneficial
ownership by the holder thereof, together with its affiliates and any other persons acting as a group together with the holder
or any of the holder’s affiliates, of more than 4.99% of the Common Stock, (III) 17,857 shares of Common Stock issuable upon
exercise of Intracoastal Warrant 4 because Intracoastal Warrant 4 contains a blocker provision under which the holder thereof does
not have the right to exercise Intracoastal Warrant 4 to the extent (but only to the extent) that such exercise would result in
beneficial ownership by the holder thereof, together with its affiliates and any other persons acting as a group together with
the holder or any of the holder’s affiliates, of more than 4.99% of the Common Stock, and (IV) 856 shares of Common Stock
issuable upon exercise of Intracoastal Warrant 5 because Intracoastal Warrant 5 contains a blocker provision under which the holder
thereof does not have the right to exercise Intracoastal Warrant 5 to the extent (but only to the extent) that such exercise would
result in beneficial ownership by the holder thereof, together with its affiliates and any other persons acting as a group together
with the holder or any of the holder’s affiliates, of more than 4.99% of the Common Stock. Without such blocker provisions,
each of the Reporting Persons may have been deemed to have beneficial ownership of 584,656 shares of Common Stock.
(c)
Number of shares
as to which each Reporting Person has:
(1) Sole power to vote or to direct the vote:
0
.
(2) Shared power
to vote or to direct the vote:
340,151
.
(3) Sole power to dispose or to direct the disposition
of
0
.
(4) Shared power to dispose or to direct the disposition
of
340,151
.
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, other than activities solely in connection with a nomination under §240.14a-11.
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.
Date: February 8, 2019
|
/s/ Mitchell P. Kopin
|
|
Mitchell P. Kopin
|
|
|
|
/s/ Daniel B. Asher
|
|
Daniel B. Asher
|
|
|
|
Intracoastal Capital LLC
|
|
|
|
|
By:
|
/s/ Mitchell P. Kopin
|
|
|
Mitchell P. Kopin, Manager
|
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