SC 13G: ProMIS Neurosciences Inc.

AI Summary

SC 13G filing by ProMIS Neurosciences Inc..

Risk Assessment

Risk Level: low

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Filing Documents

• greatpoint-pmn072624.htm (SC 13G) — 118KB
• 0001172661-24-003083.txt ( ) — 119KB

(a)Name of Issuer

Item 1. (a)Name of Issuer ProMIS Neurosciences Inc.

(b)Address of Issuer’s Principal

Item 1. (b)Address of Issuer’s Principal Executive Offices Suite 200, 1920 Yonge Street Toronto, Ontario, Canada M4S 3E2

(a)Names of Persons Filing

Item 2. (a)Names of Persons Filing: Great Point Partners, LLC Dr. Jeffrey R. Jay, M.D. Mr. Ortav Yehudai The Reporting Persons have entered into a Joint Filing Agreement, dated August 5, 2024, a copy of which is filed with this SCHEDULE 13G as Exhibit A, pursuant to which the Reporting Persons have agreed to file this statement jointly in accordance with the provisions of Rule 13d-1(k)(1) under the Act.

(b)Address

Item 2. (b)Address of Principal Business Office: The address of the principal business office of each of the Reporting Persons is 165 Mason Street, 3rd Floor Greenwich, CT 06830

(c)Citizenship

Item 2. (c)Citizenship: Great Point Partners, LLC is a limited liability company organized under the laws of the State of Delaware. Dr. Jeffrey R. Jay, M.D. is a citizen of the United States. Mr. Ortav Yehudai is a citizen of the United States.

(d)Title of Class of Securities

Item 2. (d)Title of Class of Securities Common Shares, no par value per share (the “Common Stock”)

(e) CUSIP No

Item 2. (e) CUSIP No.: 74346M406 CUSIP No. 74346M406 SCHEDULE 13G Page 6 of 9 Pages

If

Item 3.If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-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) o 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 associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) ¨ A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J); (k) ¨ A group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: CUSIP No. 74346M406 SCHEDULE 13G Page 7 of 9 Pages Item 4.Ownership The information required by Items 4(a) - (c) is set forth in Rows (5) - (11) of the cover pages for the Reporting Persons and is incorporated herein by reference. The percentage set forth in Row (11) of the cover pages for the Reporting Persons are based on a total of 30,100,452 shares outstanding, which is the sum of (i) 18,961,116 common shares outstanding as reported by the Issuer in its Form 10-Q filed with the Securities and Exchange Commission (the "SEC") on May 14, 2024 (ii) 1,166,667 shares of Series 2 Preferred Shares that converted into

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