Amended Statement of Beneficial Ownership (sc 13d/a)
07 October 2020 - 7:19AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D/A
(Amendment
No. 6)
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)
|
|
October
5, 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):
9.2%*
|
14.
|
Type
of Reporting Person (See Instructions):
IN
|
|
*
|
The foregoing beneficial ownership percentage is based
upon 7,089,512 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 October 5, 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.
5 (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, as further amended on August 12, 2019, and as further amended
on August 20, 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
1. Security and Issuer.
Item
1 of the Schedule 13D is hereby amended by deleting it in its entirety and substituting the following in lieu thereof:
This
Schedule 13D relates to common shares, par value CHF 0.01 per share (the “Common Shares”) of Auris Medical Holding
Ltd., a Bermuda corporation (the “Issuer”). The principal executive offices of the Issuer are located at Clarendon House, 2 Church Street, Hamilton HM 11, Bermuda.
|
Item
3.
|
Source
and Amount of Funds or Other Consideration
|
Item 3 of the Schedule 13D is hereby supplemented by
adding the following:
On September 23, 2020,
the Reporting Person purchased 44,500 Common Shares at a purchase price of $0.7655 per share for a total of $34,063.00. Reporting
Person purchased these Common Shares with personal funds.
On September 24, 2020,
the Reporting Person purchased 20,000 Common Shares at a purchase price of $0.7463 per share for a total of $14,925.00. Reporting
Person purchased these Common Shares with personal funds.
On September 25, 2020,
the Reporting Person purchased 7,005 Common Shares at a purchase price of $0.7752 per share for a total of $5,430.00. Reporting
Person purchased these Common Shares with personal funds.
On September 28, 2020,
the Reporting Person purchased 26,000 Common Shares at a purchase price of $0.7829 per share for a total of $20,356.00. Reporting
Person purchased these Common Shares with personal funds.
On October 1, 2020,
the Reporting Person purchased 14,193 Common Shares at a purchase price of $0.797 per share for a total of $11,312.00. Reporting
Person purchased these Common Shares with personal funds.
On October 2, 2020,
the Reporting Person purchased 14,357 Common Shares at a purchase price of $0.7879 per share for a total of $11,311.00. Reporting
Person purchased these Common Shares with personal funds.
On October 5, 2020,
the Reporting Person purchased 1,558 Common Shares at a purchase price of $0.7836 per share for a total of $1,221.00. Reporting
Person purchased these Common Shares with personal funds.
The Reporting Person
has not borrowed any funds to effectuate the transactions whereby he received the securities that are the subject of this filing
on 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 7,089,512 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)
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The
Reporting Person holds sole power to vote and dispose over all of the Common Shares of the Issuer that he beneficially owns.
|
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(c)
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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 October 5, 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:
October 6, 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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