Amended Statement of Ownership (sc 13g/a)
February 10 2021 - 03:17PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C.
20549
SCHEDULE 13G
Under the Securities
Exchange Act of 1934
(Amendment No. 1 )*
GeoVax Labs, Inc.
(Name of
Issuer)
Common Stock, $0.001 par
value
(Title of
Class of Securities)
373678 309
(CUSIP
Number)
January 22, 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:
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Rule 13d-1(b)
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ü
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Rule 13d-1(c)
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Rule 13d-1(d)
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*
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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.
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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, as amended (the “Exchange Act”), or otherwise subject to the
liabilities of that section of the Exchange Act but shall be
subject to all other provisions of the Exchange Act (however, see
the Notes).
CUSIP No. 373678
309 13G Page
2 of 6 Pages
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1
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NAME OF REPORTING
PERSON
Cavalry Fund I Management
LLC
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP
(a)
¨
(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
Delaware
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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
219,335 (1)
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6
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SHARED VOTING POWER (see
Item 5 below)
0
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7
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SOLE DISPOSITIVE
POWER
219,335 (1)
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8
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SHARED DISPOSITIVE POWER
(see Item 5 below)
0
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9
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AGGREGATE AMOUNT
BENEFICIALLY OWNED BY EACH REPORTING PERSON
219,335 (1)
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10
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CHECK BOX IF THE
AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
þ
(2)
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11
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9)
4.99%
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12
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TYPE OF REPORTING
PERSON
OO
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CUSIP No. 373678
309 13G Page
3 of 6 Pages
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1
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NAME OF REPORTING
PERSON
Thomas Walsh
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2
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CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP
(a)
¨
(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
United States
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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
219,335 (1)
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6
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SHARED VOTING POWER (see
Item 5 below)
0
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7
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SOLE DISPOSITIVE
POWER
219,335 (1)
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8
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SHARED DISPOSITIVE POWER
(see Item 5 below)
0
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9
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AGGREGATE AMOUNT
BENEFICIALLY OWNED BY EACH REPORTING PERSON
219,335 (1)
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10
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CHECK BOX IF THE
AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
þ
(2)
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11
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PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9)
4.99%
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12
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TYPE OF REPORTING
PERSON
IN
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(1)
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Represents 219,335 shares of common stock
issuable upon exercise of warrants (see footnote 2) held by
Cavalry Fund I LP and Cavalry Special Ops Fund LLC, collectively.
Cavalry Fund I Management LLC is the general partner of Cavalry
Fund I LP and Cavalry Special Ops Fund LLC. Thomas Walsh is the
Manager of Cavalry Fund I Management LLC. As such, Cavalry Fund I
Management LLC and Mr. Walsh may be deemed to beneficially own (as
that term is defined in Rule 13d-3 under the Securities Exchange
Act of 1934) 219,335 shares of common stock. To the extent Mr.
Walsh is deemed to beneficially own such shares, Mr. Walsh
disclaims beneficial ownership of these securities for all other
purposes.
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(2)
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Cavalry Fund I LP and Cavalry Special Ops
Fund LLC each owns warrants to purchase 215,035 shares of common
stock (430,070 shares of common stock in total), only a portion of
which are currently exercisable due to a beneficial ownership
limitation of 4.99% of the Company’s issued and outstanding common
stock.
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CUSIP No. 373678
309 13G Page
4 of 6 Pages
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Item 1(a).
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Name of Issuer
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GeoVax Labs, Inc. (“Issuer”)
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Item 1(b).
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Address of the Issuer’s Principal
Executive Offices
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1900 Lake Park Drive, Suite
380, Smyrna, Georgia 30080
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Item 2(a).
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Names of Persons Filing
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This Statement is filed on behalf of each of
the following persons (collectively, the “Reporting Persons”):
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(i)
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Cavalry Fund I Management LLC
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(ii)
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Thomas Walsh
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Item 2(b).
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Address of the Principal Business Office,
or if none, Residence:
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The address for each
Reporting Person is 61 82 E. Allendale Rd. Ste 5B, Saddle River, NJ
07458.
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Item 2(c).
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Citizenship
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Cavalry Fund I Management LLC is a limited
liability company formed under the laws of Delaware.
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Thomas Walsh is a citizen of the United
States.
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Item 2(d).
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Title of Class of Securities
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Common Stock, $0.001 par
value (“Common Stock”)
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Item 2(e).
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CUSIP Number
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373678 309
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Item 3.
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If this statement is filed pursuant to
Rules 13d-1(b), or 13d-2(b) or
(c), check whether the person filing is a:
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(a) Broker or Dealer registered under
Section 15 of the Exchange Act.
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(b) Bank as defined in Section 3(a)(b) or the
Exchange Act.
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(c) Insurance company as defined in Section
3(a)(19) of the Exchange Act.
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(d) Investment company registered under
Section 8 of the Investment Company Act.
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(e) An Investment adviser in accordance with
Rule 13d-1 (b)(1)(ii)(e).
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(f) An employee benefit plan or
endowment fund in accordance with Rule 13d 1(b)(1)(ii)(f).
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(g) A Parent Holding Company or control
person in accordance with Rule 13d 1(b)(1)(ii)(g).
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(h) A Savings Association as defined in
Section 3(b) of the Federal Deposit Insurance Act.
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(i) A Church Plan that is
excluded from the definition of an investment company under Section
3 (c)(14) of the Investment Company Act.
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CUSIP No. 373678
309 13G Page
5 of 6 Pages
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(j) Group, in accordance with Rule 13d-1
(b)(1)(ii)(j).
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Not applicable
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Item 4.
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Ownership
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(a)
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The responses to Items 5-11 of the cover
pages of this Schedule 13G/A are incorporated herein by
reference.
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(b)
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The percentage set forth on Row (11) of the
cover page for each Reporting Person is based on 4,395,458 shares
of common stock outstanding as of January 25, 2021.
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(c)
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Cavalry Fund I Management LLC is the general
partner of Cavalry Fund I LP and Cavalry Special Ops Fund LLC.
Thomas Walsh is the Manager of Cavalry Fund I Management LLC. As
such, Cavalry Fund I Management LLC and Mr. Walsh may be deemed to
beneficially own (as that term is defined in Rule 13d-3 under the
Securities Exchange Act of 1934) 219,335 shares of common stock. To
the extent Mr. Walsh is deemed to beneficially own such shares, Mr.
Walsh disclaims beneficial ownership of these securities for all
other purposes.
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(d)
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Cavalry Fund I LP and Cavalry Special Ops
Fund LLC each owns warrants to purchase 215,035 shares of common
stock (430,070 shares of common stock in total), only a portion of
which is currently exercisable due to a beneficial ownership
limitation of 4.99% of the Company’s issued and outstanding common
stock.
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Item 5.
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Ownership of Five Percent or Less of a
Class
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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.
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Item 6.
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Ownership of More than Five Percent on
Behalf of Another Person
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Not Applicable
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Item 7.
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Identification and
Classification of the Subsidiary Which Acquired the Security Being
Reported on By the Parent Holding Company or Control Person
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Not Applicable
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Item 8.
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Identification and Classification of
Members of the Group
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Not Applicable
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Item 9.
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Notice of Dissolution of Group
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Not Applicable
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Item 10.
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Certification
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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.
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CUSIP No. 373678
309 13G Page
6 of 6 Pages
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.
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Cavalry Fund I Management
LLC
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Date: February 10,
2021
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Thomas Walsh, as Manager of
Cavalry Fund I Management LLC
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By:
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/s/ Thomas Walsh
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Name: Thomas Walsh
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Title: Manager
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Date: February 10,
2021
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By:
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/s/ Thomas Walsh
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Thomas Walsh
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