SC 13G: KAZIA THERAPEUTICS LTD

AI Summary

SC 13G filing by KAZIA THERAPEUTICS LTD.

Risk Assessment

Risk Level: low

Key Financial Figures

• $15,000,000 — ompany may sell to Alumni Capital up to $15,000,000 (the “Investment Amount”),
• $6,000,000 — rcise price is variable and is equal to $6,000,000 divided by the number of outstanding Or

Filing Documents

• ea0208855-13galumni_kazia.htm (SC 13G) — 73KB
• 0001213900-24-058695.txt ( ) — 75KB

(a)

Item 1(a) Name of Issuer : Kazia Therapeutics Limited

(b)

Item 1(b) Address of Issuer’s Principal Executive Offices : Three International Towers Level 24. 300 Barangaroo Avenue Sydney, NSW, 2000, Australia

(a)

Item 2(a) Name of Person Filing : Alumni Capital LP Alumni Capital GP LLC Ashkan Mapar, Manager of Alumni Capital GP LLC

(b)

Item 2(b) Address of Principal Business Office or, if none, Residence : The address for the principal business office of each of Alumni Capital LP, Alumni Capital GP LLC, and Ashkan Mapar is: 80 S.W. 8 TH Street Suite 2000 Miami, FL 33131

(c)

Item 2(c) Citizenship : Alumni Capital LP, Delaware limited partnership Alumni Capital GP LLC, Delaware limited liability company Ashkan Mapar, USA

(d)

Item 2(d) Title of Class of Securities : American Depository Shares, no par value

(e)

Item 2(e) CUSIP No. : 48669G105 Item 3 If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a : The statement is not filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c). Item 4 (a) Amount beneficially owned: 3,303,395 (1) (b) Percent of class: 9.99 % (2) (c) Number of shares as to which the person has: (i) Sole power to vote or direct the vote: 3,303,395 American Depository Shares (1) 5 (ii) Shared power to vote or direct the vote; 0 shares (iii) Sole power to dispose of or direct the disposition of : 3,303,395 American Depository Shares (1) (iv) Shared power to dispose or direct the disposition of : 0 (1) All of the shares are owned beneficially by Alumni Capital LP. Ashkan Mapar may be deemed to possess voting and dispositive power in his capacity as manager of Alumni Capital GP, LLC; however, Ashkan Mapar disclaims beneficial ownership of these shares. (a) As the holder of 3,303,395 ADSs, Alumni Capital LP has voting and dispositive power over said shares. Such ADSs represent beneficial ownership of 9.99% of the shares outstanding, based on 29,793,381 ADSs issued and outstanding as of May 13, 2024. The foregoing excludes 3,863,277 ADSs underlying the Warrant that cannot be issued if, after giving effect to such issuance after exercise, Alumni (together with its affiliates) would beneficially own in excess of 9.99% of the number of ADSs outstanding immediately after giving effect to the exercise. Without the 9.99% Exercise Blocker, noted in this Schedule 13G, Alumni Capital LP would be deemed to beneficially own 6,986,672 ADSs. (b) Alumni Capital GP LLC is the general partner of Alumni Capital LP and in that capacity has voting and dispositive power over the shares owned by Alumni Capital LP. Alumni Capital GP LLC does not itself own any securities of the issuer. Alumni Capital GP, LLC is thus the beneficial owner of 3,303,395 ADSs. Such ADSs re

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