Form SC 13G - Statement of Beneficial Ownership by Certain Investors
September 19 2024 - 9:48PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
FIREFLY
NEUROSCIENCE, INC.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
317970101
(CUSIP Number)
August 12, 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)
☒ Rule 13d-1(c)
☐ 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, as amended (“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).
Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications:
Christopher Finn
167 Mary Ellen
Drive
Charleston, South Carolina 29403
(843) 425-6960
SCHEDULE 13G
CUSIP No. 317970101
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| 1 |
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Names of Reporting Persons
Eadwacer Holdings, LLC |
| 2 |
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Check the appropriate box if
a member of a Group (see instructions)
(a) ☐ (b) ☐ |
| 3 |
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Sec Use Only
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| 4 |
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Citizenship or Place of
Organization South
Carolina |
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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
0 |
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6 |
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Shared Voting Power
224,623 |
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7 |
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Sole Dispositive Power
0 |
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8 |
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Shared Dispositive Power
224,623 |
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| 9 |
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Aggregate Amount Beneficially Owned by Each Reporting Person
224,623 |
| 10 |
|
Check box if the aggregate
amount in row (9) excludes certain shares (See Instructions)
☐ |
| 11 |
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Percent of class represented
by amount in row (9) 2.9% |
| 12 |
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Type of Reporting Person
(See Instructions) OO |
SCHEDULE 13G
CUSIP No. 317970101
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| 1 |
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Names of Reporting Persons
Harleston Capital LLC |
| 2 |
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Check the appropriate box if
a member of a Group (see instructions)
(a) ☐ (b) ☐ |
| 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: |
|
5 |
|
Sole Voting Power
0 |
| |
6 |
|
Shared Voting Power
210,584 |
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7 |
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Sole Dispositive Power
0 |
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8 |
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Shared Dispositive Power
210,584 |
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| 9 |
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Aggregate Amount Beneficially Owned by Each Reporting Person
210,584 |
| 10 |
|
Check box if the aggregate
amount in row (9) excludes certain shares (See Instructions)
☐ |
| 11 |
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Percent of class represented
by amount in row (9) 2.7% |
| 12 |
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Type of Reporting Person
(See Instructions) OO |
SCHEDULE 13G
CUSIP No. 317970101
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| 1 |
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Names of Reporting Persons
Christopher Finn |
| 2 |
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Check the appropriate box if
a member of a Group (see instructions)
(a) ☐ (b) ☐ |
| 3 |
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Sec Use Only
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| 4 |
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Citizenship or Place of
Organization United States of
America |
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| Number of
Shares Beneficially
Owned by
Each Reporting
Person With: |
|
5 |
|
Sole Voting Power
0 |
| |
6 |
|
Shared Voting Power
435,207 |
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7 |
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Sole Dispositive Power
0 |
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8 |
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Shared Dispositive Power
435,207 |
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| 9 |
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Aggregate Amount Beneficially Owned by Each Reporting Person
435,207 |
| 10 |
|
Check box if the aggregate
amount in row (9) excludes certain shares (See Instructions)
☐ |
| 11 |
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Percent of class represented
by amount in row (9) 5.5% |
| 12 |
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Type of Reporting Person
(See Instructions) IN,HC |
Firefly Neuroscience, Inc. (the “Issuer”)
| (b) |
Address of Issuer’s Principal Executive Offices: |
1100 Military Road
Kenmore, NY
14217
| (a) |
Name of Person Filing: |
This statement is jointly filed by and on behalf of each of Eadwacer Holdings, LLC, a South Carolina limited liability company
(“Eadwacer”), Harleston Capital LLC, a Delaware limited liability company (“Harleston”), and Mr. Christopher Finn (each, a “Reporting Person” and collectively, the
“Reporting Persons”). Mr. Finn is the sole member of, and may be deemed to beneficially own securities beneficially owned by, Eadwacer and Harleston. Eadwacer and Harleston are the record and direct beneficial owner of
the shares of Common Stock of the Issuer covered by this statement.
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 Reporting Person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for the purpose 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 purpose 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.
| (b) |
Address of Principal Business Office or, if None, Residence: |
The address of the principal business office of each of the Reporting Persons is 167 Mary Ellen Drive, Charleston, South Carolina 29403.
See Item 4 on the cover page(s) hereto.
| (d) |
Title and Class of Securities: |
Common Stock, par value $0.0001 per share (“Common Stock”)
317970101
| Item 3. |
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) |
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☐ |
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Broker or dealer registered under Section 15 of the Act; |
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| (b) |
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☐ |
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Bank as defined in Section 3(a)(6) of the Act; |
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| (c) |
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☐ |
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Insurance company as defined in Section 3(a)(19) of the Act; |
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| (d) |
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Investment company registered under Section 8 of the Investment Company Act of 1940; |
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| (e) |
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An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
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| (f) |
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☐ |
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An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
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| (g) |
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☐ |
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A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
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| (h) |
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☐ |
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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| (i) |
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☐ |
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; |
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| (j) |
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☐ |
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A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); |
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| (k) |
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☐ |
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Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____ |
| (a) |
Amount Beneficially Owned as of the time of filing: See Item 9 on the cover pages(s) hereto.
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| (b) |
Percent of Class as of the time of filing: See Item 11 on the cover page(s) hereto.
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| (c) |
As of the time of filing, number of shares as to which such person has: |
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(i) |
Sole power to vote or to direct the vote: See Item 5 on the cover pages hereto.
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(ii) |
Shared power to vote or to direct the vote: See Item 6 on the cover pages hereto.
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(iii) |
Sole power to dispose or to direct the disposition of: See Item 7 on the cover pages hereto.
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(iv) |
Shared power to dispose or to direct the disposition of: See Item 8 on the cover pages hereto.
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| 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 Persons have ceased to be the beneficial owners of more than five
percent of the class of securities, check the following ☐.
| Item 6. |
Ownership of more than Five Percent on Behalf of Another Person. |
Not applicable
| Item 7. |
Identification and classification of the subsidiary which acquired the security being reported on by the
parent holding company or control person. |
Not applicable
| Item 8. |
Identification and classification of members of the group. |
Not applicable
| Item 9. |
Notice of Dissolution of Group. |
Not applicable
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.
Dated: September 19, 2024
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| EADWACER HOLDINGS, LLC |
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| By: |
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/s/ Christopher Finn |
| Name: |
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Christopher Finn |
| Title: |
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Sole Member |
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| HARLESTON CAPITAL LLC |
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| By: |
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/s/ Christopher Finn |
| Name: |
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Christopher Finn |
| Title: |
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Sole Member |
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| CHRISTOPHER FINN |
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| /s/ Christopher Finn |
EXHIBIT INDEX
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| Exhibit |
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Description of Exhibit |
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| 99.1 |
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Joint Filing Agreement (filed herewith). |
Exhibit 99.1
JOINT FILING AGREEMENT
September 9, 2024
Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Act”), and the rules and
regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Act or any rule or regulation thereunder (including any
amendment, restatement, supplement, and/or exhibit thereto) with the U.S. Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing,
furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with
respect to such revoking party.
IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed
and effective as of the date first written above.
Dated: September 19, 2024
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| EADWACER HOLDINGS, LLC |
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| By: |
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/s/ Christopher Finn |
| Name: |
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Christopher Finn |
| Title: |
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Sole Member |
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| HARLESTON CAPITAL LLC |
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| By: |
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/s/ Christopher Finn |
| Name: |
|
Christopher Finn |
| Title: |
|
Sole Member |
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| CHRISTOPHER FINN |
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| /s/ Christopher Finn |
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