Amended Statement of Beneficial Ownership (sc 13d/a)
December 07 2020 - 3:50PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D/A
(Amendment
No. 7)
Under
the Securities Exchange Act of 1934
Auris
Medical Holding Ltd.
|
(Name
of Issuer)
|
|
Common
Stock, par value CHF 0.01 per share
|
(Title
of Class of Securities)
|
|
G07025102
|
(CUSIP
Number)
|
|
Thomas
Meyer
Clarendon
House, 2 Church Street
Hamilton
HM 11, Bermuda
+41
(0) 41 729 71 94
|
(Name,
Address and Telephone Number of Person
Authorized
to Receive Notices and Communications)
|
|
December
4, 2020
|
(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 that is the subject of this Schedule
13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-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 §
240.13d-7 for other parties to whom copies are to be sent.
*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 disclosures provided in
a prior cover page.
The
information required on 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.
|
Names
of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only):
Thomas
Meyer
|
2.
|
Check
the Appropriate Box if a Member of a Group (See Instructions):
(a) ☐
(b) ☐
|
3.
|
SEC
Use Only
|
|
|
4.
|
Source
of Funds (See Instructions):
PF
|
5.
|
Check
if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): ☐
|
6.
|
Citizenship
or Place of Organization:
Switzerland
|
Number
of
Shares
Beneficially
Owned by
Each Reporting
Person With
|
7.
|
Sole
Voting Power:
660,525*
|
8.
|
Shared
Voting Power:
0
|
9.
|
Sole
Dispositive Power:
660,525*
|
10.
|
Shared
Dispositive Power:
0
|
11.
|
Aggregate
Amount Beneficially Owned by Each Reporting Person:
660,525*
|
12.
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): ☐
|
13.
|
Percent
of Class Represented by Amount in Row (11):
5.7%*
|
14.
|
Type
of Reporting Person (See Instructions):
IN
|
*The
foregoing beneficial ownership percentage is based upon 11,417,159 common shares, par value CHF 0.01 per share (the “Common
Shares”) of Auris Medical Holding Ltd., a Bermuda corporation (the “Issuer”), issued and outstanding as of August
20, 2020, based on information from the Issuer. Reporting Person beneficially owns 660,525 Common Shares consisting of 569,031
Common Shares and warrants and options to purchase up to 91,494 Common Shares exercisable within 60 days of the date hereof.
Explanatory
Note
This
Amendment No. 7 (the “Amendment”) amends and supplements the Schedule 13D filed by the Reporting Person (as defined
in the Schedule 13D) with the Securities and Exchange Commission (the “SEC”) on April 3, 2018, as amended on July
23, 2018 as further amended on November 21, 2018, as further amended on June 13, 2018, and as further amended on August 12, 2019,
as further amended August 20, 2020 as further amended October 6, 2020 (the “Schedule 13D”). Except as specifically
provided herein, this Amendment does not modify or amend any of the information previously reported in the Schedule 13D. Capitalized
terms used and not otherwise defined herein shall have the meanings ascribed to such terms in the Schedule 13D.
Item
5.
|
Interest
in Securities of the Issuer
|
Item
5 of the Schedule 13D is hereby amended by deleting it in its entirety and substituting the following in lieu thereof:
|
(a)
|
The
information contained on the cover pages to this Schedule 13D/A is hereby incorporated herein by reference. As of the Filing
Date there are 11,417,159 Common Shares outstanding. The Reporting Person beneficially owns 660,525 Common Shares including
Common Shares that the Reporting Person has the right to acquire within 60 days of the Filing Date upon exercise of outstanding
options and warrants.
|
|
(b)
|
The
Reporting Person holds sole power to vote and dispose over all of the Common Shares of the Issuer that he beneficially owns.
|
|
(c)
|
The
information provided in Item 3 and Item 4 is incorporated by reference herein.
|
Except
as described herein, during the past sixty (60) days on or prior to December 4, 2020 (the “Event Date”), and
from the Event Date to the Filing Date, there were no other purchases or sales of Common Shares, or securities convertible into
or exchangeable for Common Shares, by the Reporting Persons or any person or entity for which the Reporting Persons possess voting
or dispositive control over the securities thereof.
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.
Dated:
December 7, 2020
|
/s/
Thomas Meyer
|
|
Thomas
Meyer
|
Attention:
Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001).
3
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