Form SC 13G/A - Statement of Beneficial Ownership by Certain Investors: [Amend]
November 14 2024 - 9:19AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
| EVOKE
PHARMA, INC. |
| (Name of Issuer) |
| |
| Common Stock, par value $0.0001 per share |
| (Title of Class of Securities) |
| |
| 30049G302 |
| (CUSIP Number) |
| |
| September 30, 2024 |
| (Date of Event Which Requires Filing of this Statement) |
Check the appropriate box to designate the rule
pursuant to which this Schedule is filed:
| |
☐ |
Rule 13d-1(b) |
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|
|
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☒ |
Rule 13d-1(c) |
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☐ |
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 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).
Page 2 of 9
| 1 |
NAME OF REPORTING PERSONS
Altium Capital Management, LP
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2066653 |
|
| 2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☐
(b) ☐ |
| 3 |
SEC USE ONLY |
|
| 4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, United States of America |
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH: |
5 |
SOLE VOTING
0 |
|
| 6 |
SHARED VOTING POWER
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 7 |
SOLE DISPOSITIVE POWER
0 |
|
| 8 |
SHARED DISPOSITIVE POWER
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 10 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES |
☐ |
| 11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.99%(2) |
|
| 12 |
TYPE OF REPORTING PERSON
IA, PN |
|
| |
|
|
|
|
| (1) | As more fully described in Item 4, the Series A Warrants, Series
B Warrants, and Series C Warrants (collectively the “Warrants”) are each subject to a 4.99% blocker (the “Warrant Blockers”).
However, as more fully described in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock
that would be issuable upon full conversion and exercise of such Warrants and does not give effect to the Warrant Blockers. Therefore,
the actual number of shares of Common Stock beneficially owned by each such Reporting Person, after giving effect to such Warrant Blockers,
is less than the number of securities reported in rows (6), (8) and (9). |
| (2) | Based on 1,486,009 shares of Common Stock outstanding as of November
6, 2024, as set forth in the Issuer’s Form 10-Q, filed with the Securities and Exchange Commission on November 7, 2024. |
Page 3 of 9
| 1 |
NAME OF REPORTING PERSONS
Altium Growth Fund, LP
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2105101 |
|
| 2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☐
(b) ☐ |
| 3 |
SEC USE ONLY |
|
| 4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, United States of America |
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH: |
5 |
SOLE VOTING
0 |
|
| 6 |
SHARED VOTING POWER
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 7 |
SOLE DISPOSITIVE POWER
0 |
|
| 8 |
SHARED DISPOSITIVE POWER
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 10 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES |
☐ |
| 11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.99%(2) |
|
| 12 |
TYPE OF REPORTING PERSON
PN |
|
| |
|
|
|
|
| (1) | As more fully described in Item 4, the Series A Warrants, Series
B Warrants, and Series C Warrants (collectively the “Warrants”) are each subject to a 4.99% blocker (the “Warrant Blockers”).
However, as more fully described in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock
that would be issuable upon full conversion and exercise of such Warrants and does not give effect to the Warrant Blockers. Therefore,
the actual number of shares of Common Stock beneficially owned by each such Reporting Person, after giving effect to such Warrant Blockers,
is less than the number of securities reported in rows (6), (8) and (9). |
| (2) | Based on 1,486,009 shares of Common Stock outstanding as of November
6, 2024, as set forth in the Issuer’s Form 10-Q, filed with the Securities and Exchange Commission on November 7, 2024. |
Page 4 of 9
| 1 |
NAME OF REPORTING PERSONS
Altium Growth GP, LLC
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2086430 |
|
| 2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP |
(a) ☐
(b) ☐ |
| 3 |
SEC USE ONLY |
|
| 4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, United States of America |
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH: |
5 |
SOLE VOTING
0 |
|
| 6 |
SHARED VOTING POWER
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 7 |
SOLE DISPOSITIVE POWER
0 |
|
| 8 |
SHARED DISPOSITIVE POWER
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
153,186 Shares of Common Stock issuable upon exercise of Series A Warrants(1)
102,124 Shares of Common Stock issuable upon exercise of Series B Warrants(1)
153,186 Shares of Common Stock Issuable upon exercise of Series C Warrants(1) |
|
| 10 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES |
☐ |
| 11 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.99%(2) |
|
| 12 |
TYPE OF REPORTING PERSON
OO |
|
| |
|
|
|
|
| (1) | As more fully described in Item 4, the Series A Warrants, Series
B Warrants, and Series C Warrants (collectively the “Warrants”) are each subject to a 4.99% blocker (the “Warrant Blockers”).
However, as more fully described in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock
that would be issuable upon full conversion and exercise of such Warrants and does not give effect to the Warrant Blockers. Therefore,
the actual number of shares of Common Stock beneficially owned by each such Reporting Person, after giving effect to such Warrant Blockers,
is less than the number of securities reported in rows (6), (8) and (9). |
| (2) | Based on 1,486,009 shares of Common Stock outstanding as of November
6, 2024, as set forth in the Issuer’s Form 10-Q, filed with the Securities and Exchange Commission on November 7, 2024. |
Page 5 of 9
| Item 1(a). |
|
Name of Issuer: |
Evoke Pharma, Inc. (the “Issuer”) |
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| Item 1(b). |
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Address of Issuer’s Principal Executive Offices: |
420 Stevens Avenue, Suite 230
Solana Beach,
California 92075 |
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| Item 2(a). |
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Name of Person Filing:
This statement is jointly filed by and on behalf
of each of Altium Growth Fund, LP (the “Fund”), Altium Capital Management, LLC, and Altium Growth GP, LLC. The Fund is the
record and direct beneficial owner of the securities covered by this statement. Altium Capital Management, LP is the investment adviser
of, and may be deemed to beneficially own securities, owned by, the Fund. Altium Growth GP, LLC is the general partner of, and may be
deemed to beneficially own securities owned by, the Fund.
Each reporting person declares that neither the filing of this statement
nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any
other purpose, the beneficial owner of any securities covered by this statement.
Each of the reporting persons may be deemed to
be a member of a group with respect to the Issuer or securities of the Issuer for the purposes of Section 13(d) or 13(g) of the Act. Each
of the reporting persons declares that neither the filing of this statement nor anything herein shall be construed as an admission that
such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, (i) acting (or has agreed or is agreeing to
act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding,
or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any
group with respect to the Issuer or any securities of the Issuer. |
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| Item 2(b). |
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Address of Principal Business Office or, if None, Residence: |
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The address of the principal business office of each of the reporting persons is
152 West 57th Street, FL 20, New York, NY 10019 |
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| Item 2(c). |
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Citizenship: |
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See Item 4 on the cover page(s) hereto. |
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| Item 2(d). |
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Title of Class of Securities: |
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Common Stock, par value $0.0001 per share (“Common Stock”) |
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| Item 2(e). |
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CUSIP Number: 30049G302 |
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| Item 3. |
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If This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-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 Act (15 U.S.C. 78o). |
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(b) |
☐ |
Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). |
Page 6 of 9
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(c) |
☐ |
Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). |
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(d) |
☐ |
Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
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(e) |
☐ |
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
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(f) |
☐ |
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
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(g) |
☐ |
A parent holding company or control person in accordance with §240.13d-1(b)(ii)(G); |
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(h) |
☐ |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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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 (15 U.S.C. 80a-3); |
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(j) |
☐ |
Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
| Item 4. |
Ownership. |
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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 listed above and is incorporated by reference for each such Reporting Person. The percentage set forth in Row 11 of the cover page
for each Reporting Person is based on 1,486,009 shares of Common Stock outstanding as of November 6, 2024, as set forth in the Issuer’s
Form 10-Q, filed with the Securities and Exchange Commission on November 7, 2024.
Pursuant to the terms of the securities
purchase agreement entered into between the Fund and the Issuer, the Fund purchased Series A Warrants, Series B Warrants and Series C
Warrants (the Series A, B, and C Warrants collectively the “Warrants.”) As described above the Reporting Persons the Warrants
are subject to Warrant Blockers and as a result cannot exercise the Warrants to the extent the Reporting Persons would beneficially own,
after any such exercise, more than 4.99% of the outstanding shares of Common Stock. |
Page 7 of 9
| Item 5. |
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 five percent of the class of securities, check the following [X] |
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| Item 6. |
Ownership of More than Five Percent on Behalf of Another Person. |
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Not applicable |
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| Item 7. |
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. |
Identification and Classification of Members of the Group. |
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Not applicable |
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| Item 9. |
Notice of Dissolution of Group. |
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Not applicable |
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| 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.
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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Dated: |
November 14, 2024 |
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Altium Capital Management, LP
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By: |
/s/ Jacob Gottlieb |
|
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Name: |
Jacob Gottlieb |
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Title: |
CEO |
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Altium Growth Fund, LP |
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By: Altium Growth GP, LLC |
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Its: General Partner |
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Signature: |
/s/ Jacob Gottlieb |
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Name: |
Jacob Gottlieb |
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Title: |
Managing Member of Altium Growth GP, LLC |
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Altium Growth GP, LLC |
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By: |
/s/ Jacob Gottlieb |
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Name: |
Jacob Gottlieb |
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Title: |
Managing Member |
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Page 8 of 9
EXHIBIT INDEX
Evoke Pharma Inc. Schedule 13G/A
Page 9 of 9
EXHIBIT 1
JOINT ACQUISITION STATEMENT
PURSUANT TO SECTION 240.13d-1(k)
The undersigned acknowledge and agree that the
foregoing statement on Schedule 13G/A is filed on behalf of each of the undersigned and that all subsequent amendments to this statement
on Schedule 13G/A shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements.
The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy
of the information concerning him, her or it contained therein, but shall not be responsible for the completeness and accuracy of the
information concerning the other entities or persons, except to the extent that he, she or it knows or has reason to believe that such
information is inaccurate.
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Dated: |
November 14, 2024 |
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Altium Capital Management, LP
|
|
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By: |
/s/ Jacob Gottlieb |
|
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Name: |
Jacob Gottlieb |
|
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Title: |
CEO |
|
| |
|
|
|
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Altium Growth Fund, LP |
|
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|
|
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By: Altium Growth GP, LLC |
|
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Its: General Partner |
|
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Signature: |
/s/ Jacob Gottlieb |
|
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Name: |
Jacob Gottlieb |
|
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Title: |
Managing Member of Altium Growth GP, LLC |
|
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|
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Altium Growth GP, LLC |
|
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|
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By: |
/s/ Jacob Gottlieb |
|
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Name: |
Jacob Gottlieb |
|
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Title: |
Managing Member |
|
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