SC 13G/A: PetVivo Holdings, Inc.

AI Summary

SC 13G/A filing by PetVivo Holdings, Inc..

Risk Assessment

Risk Level: low

FAQ

Filing Documents

• sc13g-amend.htm (SC 13G/A) — 74KB
• 0001099910-24-000254.txt ( ) — 76KB

From the Filing

SC 13G/A 1 sc13g-amend.htm AMENDMENT #4 TO SCHEDULE 13G UNITED SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 4)* Under the Securities Exchange Act of 1934 PetVivo Holdings, Inc. (Name of Issuer) Common Stock, (Nasdaq: PETV) (Title of Class of Securities) 716817408 (CUSIP Number) May 15, 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 (“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). CUSIP No. 716817408 SC 13G/A Page 2 of 5 Pages 1 NAME OF REPORTING PERSON A.L. Sarroff Fund, LLC [1] 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 SOLE VOTING POWER 2,861,402 common stock [2] 6 SHARED VOTING POWER 0 7 SOLE DISPOSITIVE POWER 2,861,402 common stock [2] 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,861,402 common stock [2] 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 17.1% [3] 12 TYPE OF REPORTING PERSON PN [4] [1] A.L. Sarroff Fund, LLC (the "Company") is a New York Limited Liability Company (LLC) whose two individual members own, respectively, 90% and 10% of the Company's membership interests. The securities reported in this Schedule 13G were acquired primarily in accounts in the name of the Company and partly in accounts in the names of the two individual members. [2] In addition to the common shares reported in this Schedule 13G, the Company owns and/or controls 2,281,554 Warrants of the issuer. The Warrants are exercisable on the following schedule: 1,166,000.00 exercisable as of August 4, 2026, 111,000 exercisable as of December 6, 2026, 861,696 as of April 29, 2027, and 142,858 exercisable as of May 15, 2027. These Warrants have not been exercised. Pursuant to SEC Rule 13d-3(d) (1), these Warrants are therefore not included in the Company's aggregate shareholdings for purposes of this Schedule G. [3] According to the issuer's latest Form 10-Q, there were 16,770,018 outstanding common shares as of December 31, 2023. The common shares owned and/or controlled by the Company as of December 31, 2023 totaled 17.1% of the common shares outstanding. [4] This filing is made in reliance upon SEC Rule 13d-1(c). The Company, (a) has not acquired the securities with any purpose, or with the effect, of changing or influencing the control of the issuer, or in connection with or as a participant in any transaction having that purpose or effect, including any transaction subject to Rule 13d-3(b); (b) is not a person reporting pursuant to SEC Rule 13d-1(b)(1); and (c) is not directly or indirectly the beneficial owner of 20 percent of more of the class. CUSIP No. 716817408 SC 13G/A Page 3 of 5 Pages Item 1(a). NAME OF ISSUER: The name of the issuer is PetVivo Holdings, Inc. Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 5251 Edina Industrial Blvd., Edina, Minnesota, 55349. Item 2(a). NAME OF PERSON FILING: A.L. Sarroff Fund, LLC . Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 43 Meadow Woods Road, Great Neck, NY 11020 Item 2(c). CITIZENSHIP: United Item 2(d). TITLE OF CLASS OF SECURITIES: Common stock. Item 2(e). CUSIP NUMBER: 716817408 Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8); (e) An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); (f) An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); (g) A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); (h) A savings assoc

View Full Filing

View this SC 13G/A filing on SEC EDGAR