Amended Statement of Ownership (sc 13g/a)
February 11 2022 - 6:42AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Aeterna
Zentaris Inc.
(Name of Issuer)
Common
shares, no par value per share
(Title of Class of Securities)
007975402
(CUSIP Number)
December
31, 2021
(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).
1.
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Names of Reporting Persons.
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Mitchell P. Kopin
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) ☐
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(b) ☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
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United States of America
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Number of
Shares Beneficially
Owned by Each
Reporting
Person With:
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5.
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Sole Voting Power
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0
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6.
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Shared Voting Power
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289,856
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7.
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Sole Dispositive Power
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0
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8.
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Shared Dispositive Power
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289,856
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
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289,856 (see Item 4)
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
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11.
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Percent of Class Represented by Amount in Row (9)
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0.2% (see Item 4)
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12.
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Type of Reporting Person (See Instructions)
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IN; HC
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1.
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Names of Reporting Persons.
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Daniel B. Asher
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) ☐
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(b) ☐
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3.
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SEC Use Only
|
|
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4.
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Citizenship or Place of Organization
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United States of America
|
|
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Number of
Shares Beneficially
Owned by Each
Reporting
Person With:
|
5.
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Sole Voting Power
|
0
|
|
|
|
6.
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Shared Voting Power
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289,856
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|
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|
7.
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Sole Dispositive Power
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0
|
|
|
|
8.
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Shared Dispositive Power
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289,856
|
|
|
|
|
9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
|
289,856 (see Item 4)
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|
10.
|
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
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11.
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Percent of Class Represented by Amount in Row (9)
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0.2% (see Item 4)
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12.
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Type of Reporting Person (See Instructions)
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IN; HC
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1.
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Names of Reporting Persons.
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Intracoastal Capital LLC
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) ☐
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(b) ☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
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Delaware
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Number of
Shares Beneficially
Owned by Each
Reporting
Person With:
|
5.
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Sole Voting Power
|
0
|
|
|
|
6.
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Shared Voting Power
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289,856
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7.
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Sole Dispositive Power
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0
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8.
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Shared Dispositive Power
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289,856
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|
|
|
|
9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
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289,856 (see Item 4)
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
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11.
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Percent of Class Represented by Amount in Row (9)
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0.2% (see Item 4)
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12.
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Type of Reporting Person (See Instructions)
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OO
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This Amendment No. 2
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 July 10, 2020, as amended by Amendment No. 1 thereto filed by the Reporting
Persons with the SEC on January 29, 2021 (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, 2021, each of the Reporting Persons may have been deemed to have beneficial ownership of 289,856 shares of
Common Stock issuable upon exercise of a warrant held by Intracoastal (the “Intracoastal Warrant”), and all such shares
of Common Stock represented beneficial ownership of approximately 0.2% of the Common Stock, based on (1) 121,397,007 shares of Common
Stock outstanding as of November 4, 2021 as reported by the Issuer, plus (2) 289,856 shares of Common Stock issuable upon exercise of
the Intracoastal Warrant.
(c) Number of shares as to
which each Reporting Person has:
(i) Sole power to vote or to direct the vote: 0.
(ii) Shared power to vote or to direct the vote: 289,856.
(iii) Sole power to dispose or to direct the disposition
of 0.
(iv) Shared power to dispose or to direct the disposition
of 289,856.
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 5 percent of the class of securities, check the following þ.
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 11, 2022
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/s/ Mitchell P. Kopin
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Mitchell P. Kopin
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/s/ Daniel B. Asher
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Daniel B. Asher
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Intracoastal Capital LLC
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By:
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/s/ Mitchell P. Kopin
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Mitchell P. Kopin, Manager
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Page 6 of 6
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