SC 13G: KIORA PHARMACEUTICALS INC

AI Summary

SC 13G filing by KIORA PHARMACEUTICALS INC.

Risk Assessment

Risk Level: low

FAQ

Filing Documents

• rosalind_kprx_13g_feb202.htm (SC 13G) — 89KB
• rosalind_kprx_exa_may202.htm (EX-99.A BD-DIR-RESOL) — 2KB
• 0001622627-24-000035.txt ( ) — 93KB

Ownership

Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: The information as of the date of the event which requires filing of this statement required by Items 5(a) – (c) is set forth in Rows 7 – 13 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. The percentage set forth in Row 13 of the cover page for each Reporting Person is based upon 26,256,197 common stock as of May 08, 2024, as reported by the Issuer on the 10-Q filed. Rosalind Master Fund L.P. is the record owner of 2,300,000 shares of common stock and 4,182,094 shares of Common Stock issuable upon exercise of warrants. Rosalind Advisors, Inc. is the investment advisor to RMF and may be deemed to be the beneficial owner of shares held by RMF. Steven Salamon is the portfolio manager of the Advisor and may be deemed to be the beneficial owner of shares held by RMF. Notwithstanding the foregoing, the Advisor and Mr. Salamon disclaim beneficial ownership of the shares. (b) Percent of class: Rosalind Advisors, Inc. – 9.9% Rosalind Master Fund L.P. – 9.9% Steven Salamon – 9.9% Gilad Aharon – 9.9% NYC#: 139632.2 CUSIP No. 49721T101 13G Page 8 of 9 Pages (c) Number of shares as to which the person has: (i) Shared power to vote or to direct the vote Rosalind Advisors, Inc. – 2,300,000 Rosalind Master Fund L.P. – 2,300,000 Steven Salamon – 2,300,000 Gilad Aharon - 2,300,000 (ii) Sole power to dispose or to direct the disposition of – 0 (iii) Shared power to dispose or to direct the disposition of Rosalind Advisors, Inc. – 2,300,000 Rosalind Master Fund L.P. – 2,300,000 Steven Salamon – 2,300,000 Gilad Aharon - 2,300,000 Instruction . For computations regarding securities which represent a right to acquire an underlying security see 240.13d-3(d)(1).

Ownership of Five Percent or Less of a Class

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 person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following . Instruction . Dissolution of a group requires a response to this item.

Ownership of More than Five Percent on Behalf of Another Person

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

– 9. Not Applicable

Item 7 – 9. Not Applicable NYC#: 139632.2 CUSIP No. 49721T101 13G Page 9 of 9 Pages

Certification

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. 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. 5/28/2024 Date Signature Steven Salamon/President Rosalind Advisors, Inc. Name/Title Exhibit A Joint Filing Agreement The undersigned hereby agree that this Statement on Schedule 13G with respect to the beneficial ownership of shares of Common Stock of KIORA PHARMACEUTICALS INC. is filed jointly, on behalf of each of them. Rosalind Advisors, Inc. By: _____________________________ Name: Steven Salamon Title: President Rosalind Master Fund L.P. By: _____________________________ Name: Mike McDonald Title: Director, Rosalind (Cayman) Ltd. (as General Partner to Rosalind Master Fund) By: _____________________________ Name: Steven Salamon NYC#: 139632.2

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View this SC 13G filing on SEC EDGAR