SECURITIES AND EXCHANGE
COMMISSION

Washington, D.C. 20549

 

 

 

SCHEDULE 13G

 

(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO § 240.13d-2.

 

(Amendment No. 2)*

 

MoSys, Inc.

(Name of Issuer)

 

Common Stock, par value $0.001 per share

(Title of Class of Securities)

 

619718307

(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 is filed:

  o Rule 13d-1(b)
     
  x Rule 13d-1(c)
     
  o 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 purposes 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: 619718307
  (1) Names of Reporting Persons
Iroquois Capital Management L.L.C.
  (2) Check the Appropriate Box if a Member of a Group (See Instructions)
    (a) o
    (b) o
  (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

 

116,667 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

 
(7) Sole Dispositive Power
0
 
(8)

Shared Dispositive Power

 

116,667 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

         
  (9)

Aggregate Amount Beneficially Owned by Each Reporting Person

 

116,667 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

  (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o
  (11) Percent of Class Represented by Amount in Row (9)
5.0%
  (12) Type of Reporting Person (See Instructions)
OO

 

* As more fully described in Item 4, these shares of Common Stock are issuable upon exercise of warrants. The warrants are subject to a 9.99% beneficial ownership blocker and the percentage set forth on row (11) and the number of shares of Common Stock set forth on rows (6), (8) and (9) give effect to such blocker.

 

CUSIP No: 619718307
  (1) Names of Reporting Persons
Richard Abbe
  (2) Check the Appropriate Box if a Member of a Group (See Instructions)
    (a) o
    (b) o
  (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

 

133,333 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

 
(6)

Shared Voting Power

 

116,667 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

 
(7)

Sole Dispositive Power
133,333 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

 
(8)

Shared Dispositive Power
116,667 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

         
  (9)

Aggregate Amount Beneficially Owned by Each Reporting Person

 

250,000 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

  (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o
  (11) Percent of Class Represented by Amount in Row (9)
9.99%
  (12) Type of Reporting Person (See Instructions)
IN; HC

 

* As more fully described in Item 4, these shares of Common Stock are issuable upon exercise of warrants. The warrants are subject to a 9.99% beneficial ownership blocker and the percentage set forth on row (11) and the number of shares of Common Stock set forth on rows (6), (8) and (9) give effect to such blocker.

 

CUSIP No: 619718307
  (1) Names of Reporting Persons
Kimberly Page
  (2) Check the Appropriate Box if a Member of a Group (See Instructions)
    (a) o
    (b) o
  (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
116,667 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

 
(7) Sole Dispositive Power
0
 
(8)

Shared Dispositive Power

 

116,667 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

         
  (9)

Aggregate Amount Beneficially Owned by Each Reporting Person
116,667 shares of Common Stock issuable upon exercise of Warrants (See Item 4)*

 

  (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o
  (11) Percent of Class Represented by Amount in Row (9)
5.0%
  (12) Type of Reporting Person (See Instructions)
IN

 

* As more fully described in Item 4, these shares of Common Stock are issuable upon exercise of warrants. The warrants are subject to a 9.99% beneficial ownership blocker and the percentage set forth on row (11) and the number of shares of Common Stock set forth on rows (6), (8) and (9) give effect to such blocker.

 

This Amendment No. 2 (this “Amendment”) amends the statement on Schedule 13G filed on October 9, 2018, as amended on February 14, 2019 (the “Original Schedule 13G”) with respect to the Common Stock, $0.001 par value (the “Common Stock”) of MoSys, Inc., a Delaware corporation (the “Company”). Capitalized terms used herein and not otherwise defined in this Amendment have the meanings set forth in the Original Schedule 13G. This Amendment amends and restates Item 4 in its entirety as set forth below.

 

Item 4. Ownership

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

The information as of the date of the event which requires filing of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. The Company’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 13, 2019, discloses that the total number of outstanding shares of Common Stock as of November 1, 2019 was 2,177,552. The percentage set forth on row (11) and the number of shares of Common Stock set forth on rows (6), (8) and (9) of the cover page for each Reporting Person are based on the Company’s total number of outstanding shares of Common Stock and assume the exercise of the reported warrants (the “Reported Warrants”) held by the Reporting Persons, subject to the Blocker (as defined below).

 

Pursuant to the terms of the Reported Warrants, the Reporting Persons cannot exercise such Reported Warrants to the extent the Reporting Persons would beneficially own, after any such exercise, more than 9.99% of the outstanding shares of Common Stock (the “Blocker”), and the percentage set forth in Row 11 of the cover page for each Reporting Person gives effect to the Blocker. Consequently, as of the date of the event which requires the filing of this statement, the Reporting Persons were not able to exercise all of such Reported Warrants due to the Blocker.

 

As of the date of the event which requires filing of this statement, Iroquois Master Fund Ltd. (“Iroquois Master Fund”) held Reported Warrants to purchase 116,667 shares of Common Stock (subject to the Blocker) and Iroquois Capital Investment Group LLC (“ICIG”) held Reported Warrants to purchase 133,333 shares of Common Stock (subject to the Blocker).

 

Mr. Abbe shares authority and responsibility for the investments made on behalf of Iroquois Master Fund with Ms. Kimberly Page, each of whom is a director of the Iroquois Master Fund. As such, Mr. Abbe and Ms. Page may each be deemed to be the beneficial owner of all shares of Common Stock held by, and underlying the Reported Warrants (subject to the Blocker) held by, Iroquois Master Fund. Iroquois Capital is the investment advisor for Iroquois Master Fund and Mr. Abbe is the President of Iroquois Capital. Mr. Abbe has the sole authority and responsibility for the investments made on behalf of ICIG. As such, Mr. Abbe may be deemed to be the beneficial owner of all shares of Common Stock held by, and underlying the Reported Warrants (subject to the Blocker) held by, Iroquois Master Fund and ICIG. The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of shares of Common Stock owned by another Reporting Person. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such shares of Common Stock except to the extent of their pecuniary interest therein.

 

Item 10. Certification

 

By signing below each of the undersigned certifies that, to the best of its 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.

 

SIGNATURES

 

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 14, 2020

 

  IROQUOIS CAPITAL MANAGEMENT L.L.C.  
       
  By: /s/ Richard Abbe  
    Richard Abbe, President  
       
  /s/ Richard Abbe  
  Richard Abbe  
       
  /s/ Kimberly Page  
  Kimberly Page  

 

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