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Name | Symbol | Market | Type |
---|---|---|---|
Akari Therapeutics PLC | NASDAQ:AKTX | NASDAQ | Depository Receipt |
Price Change | % Change | Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.02 | 0.52% | 3.83 | 3.15 | 4.00 | 3.85 | 3.75 | 3.76 | 1,469 | 00:50:00 |
* |
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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(1)
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Names of reporting persons
Charles Steve Theofilos, M.D.
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||
(2)
|
Check the appropriate box if a member of a group (see instructions)
(a) ☐ (b) ☒**
** The reporting persons making this filing hold an aggregate of 1,061,007 ADSs (as defined in the Preliminary Note)
representing 2,122,014,000 Ordinary Shares (as defined in Item 1) and hold Series C Warrants (as defined in the Preliminary Note) exercisable for an aggregate of 1,061,007 ADSs. Due to exercise limitations set forth in the Series C Warrants
pursuant to the Beneficial Ownership Limitation (as defined in the Preliminary Note), as of the date of this filing the reporting persons have the right to exercise Series C Warrants for up to an aggregate of 124,368 ADSs representing
248,736,000 Ordinary Shares. Accordingly, as of the date of this filing the aggregate ADSs and Series C Warrants held by the reporting persons represent beneficial ownership of 9.99% of the class of Ordinary Shares. The reporting person on
this cover page, however, is a beneficial owner only of the securities reported by it on this cover page.
|
||
(3)
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SEC use only
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||
(4)
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Source of funds (see instructions)
PF
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||
(5)
|
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
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(6)
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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:
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(7)
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Sole voting power
|
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-0-
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|||
(8)
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Shared voting power
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||
2,370,750,000 (1)
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|||
(9)
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Sole dispositive power
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||
-0-
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|||
(10)
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Shared dispositive power
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||
2,370,750,000 (1)
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|||
(11)
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Aggregate amount beneficially owned by each reporting person
2,370,750,000 (1)
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||
(12)
|
Check if the aggregate amount in Row (11) excludes certain shares (see instructions)
☐
|
||
(13)
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Percent of class represented by amount in Row (11)
9.99% (2)
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||
(14)
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Type of reporting person (see instructions)
IN
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(1)
|
Names of reporting persons
Kathryn Theofilos
|
||
(2)
|
Check the appropriate box if a member of a group (see instructions)
(a) ☐ (b) ☒**
** The reporting persons making this filing hold an aggregate of 1,061,007 ADSs (as defined in the Preliminary Note)
representing 2,122,014,000 Ordinary Shares (as defined in Item 1) and hold Series C Warrants (as defined in the Preliminary Note) exercisable for an aggregate of 1,061,007 ADSs. Due to exercise limitations set forth in the Series C Warrants
pursuant to the Beneficial Ownership Limitation (as defined in the Preliminary Note), as of the date of this filing the reporting persons have the right to exercise Series C Warrants for up to an aggregate of 124,368 ADSs representing
248,736,000 Ordinary Shares. Accordingly, as of the date of this filing the aggregate ADSs and Series C Warrants held by the reporting persons represent beneficial ownership of 9.99% of the class of Ordinary Shares. The reporting person on
this cover page, however, is a beneficial owner only of the securities reported by it on this cover page.
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||
(3)
|
SEC use only
|
||
(4)
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Source of funds (see instructions)
PF
|
||
(5)
|
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
|
||
(6)
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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:
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(7)
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Sole voting power
|
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-0-
|
|||
(8)
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Shared voting power
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||
2,370,750,000 (1)
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|||
(9)
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Sole dispositive power
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||
-0-
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|||
(10)
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Shared dispositive power
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||
2,370,750,000 (1)
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|||
(11)
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Aggregate amount beneficially owned by each reporting person
2,370,750,000 (1)
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||
(12)
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Check if the aggregate amount in Row (11) excludes certain shares (see instructions)
☐
|
||
(13)
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Percent of class represented by amount in Row (11)
9.99% (2)
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(14)
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Type of reporting person (see instructions)
IN
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(a)
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This Schedule 13D is being filed by: (i) Charles Steve Theofilos, M.D. (“Dr. Theofilos”); and (ii) Kathryn Theofilos (“Mrs. Theofilos”). Dr. Theofilos and Mrs. Theofilos are together
referred to herein as the “Reporting Persons.”
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(b)
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The principal business address of each of the Reporting Persons is 300 Village Square Crossing, Suite 102, Palm Beach Gardens, FL
33410.
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(c)
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Dr. Theofilos is a retired neurosurgeon who founded The Spine Center in Palm Beach Gardens, FL in 1996. He also founded and serves
as President of Theo Concepts, LLC and Founder of The Theo Group, a family office.
Mrs. Theofilos is President/CEO of The Theo Group, a family office, and an attorney and manager-member of Theofilos Law, P.L.
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(d)
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None of the Reporting Persons has, during the last five years, been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors).
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(e)
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None of the Reporting Persons has, during the last five years, been a party to a civil proceeding of a judicial or administrative
body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or
finding any violation with respect to such laws.
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(f)
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Dr. Theofilos and Mrs. Theofilos are both citizens of the United States of America.
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Person
|
Total Ordinary Shares
Beneficially Owned |
Percent
of Class Outstanding |
Sole
Voting Power |
Shared
Voting Power |
Sole
Power to Dispose |
Shared
Power to Dispose |
||||||
Charles Steve Theofilos, M.D.
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2,370,750,000 (1)
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9.99%
|
0
|
2,370,750,000
|
0
|
2,370,750,000
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||||||
Kathryn Theofilos
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2,370,750,000 (1)
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9.99%
|
0
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2,370,750,000
|
0
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2,370,750,000
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Dr. Charles Theofilos
|
||
/s/ Dr. Charles Theofilos
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Kathryn Theofilos
/s/ Kathryn Theofilos
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1.
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Joint Acquisition Statement Pursuant to Section 240.13d-1(k), dated June 18, 2024
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2.
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Form of Securities Purchase Agreement, dated as of May 31, 2024 (incorporated by reference to Exhibit 10.1
to the Current Report on Form 8-K filed by the Issuer on June 4, 2024)
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3.
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Form of Series C Warrant (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed
by the Issuer on June 4, 2024)
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Dr. Charles Theofilos
|
||
/s/ Dr. Charles Theofilos
|
||
Kathryn Theofilos
/s/ Kathryn Theofilos
|
1 Year Akari Therapeutics Chart |
1 Month Akari Therapeutics Chart |
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