# EDGAR Filing Document

**Accession Number:** 0001601086
**File Stem:** 0001011438-23-000145
**Filing Date:** 2023-2
**Character Count:** 14742
**Document Hash:** 6aebc3d48ed840133ae57b234d48816e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001011438-23-000145.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0001011438-23-000145

**CONFORMED SUBMISSION TYPE**: SC 13D/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**GROUP MEMBERS**: STEVEN BOYD

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Avalo Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001534120
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 450705648
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13D/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-89290
- **FILM NUMBER:** 23606613

**BUSINESS ADDRESS:**
- **STREET 1:** 540 GAITHER ROAD
- **STREET 2:** SUITE 400
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850
- **BUSINESS PHONE:** 410-522-8707

**MAIL ADDRESS:**
- **STREET 1:** 540 GAITHER ROAD
- **STREET 2:** SUITE 400
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Cerecor Inc.
- **DATE OF NAME CHANGE:** 20111102
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ARMISTICE CAPITAL, LLC
- **CENTRAL INDEX KEY:** 0001601086
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13D/A

**BUSINESS ADDRESS:**
- **STREET 1:** 510 MADISON AVENUE, 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** (212) 231-4932

**MAIL ADDRESS:**
- **STREET 1:** 510 MADISON AVENUE, 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### WASHINGTON, DC 20549
_________________________________________

### SCHEDULE 13D

#### THE SECURITIES EXCHANGE ACT OF 1934

#### (Amendment No. 26)\*
_________________________________________ <br>

### Avalo Therapeutics, Inc.

#### (Name of Issuer)

#### Common Stock, $0.001 par value per share

#### (Title of Class of Securities)

#### 05338F108

#### (CUSIP Number)

#### Anthony Cordone<br>

#### c/o Armistice Capital, LLC

#### 510 Madison Avenue

#### 7th Floor

#### New York, NY 10022

#### Telephone Number: (212) 231-4930

#### (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

#### February 7, 2023

#### (Date of Event Which Requires Filing of this Statement)
&nbsp;&nbsp;&nbsp;&nbsp;_________________________________________

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ].

\* 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.

------

CUSIP No. 05338F108

---

| | | | | |
|:---|:---|:---|:---|:---|
| 1 | NAMES OF REPORTING PERSONS<br>Armistice Capital, LLC | NAMES OF REPORTING PERSONS<br>Armistice Capital, LLC | NAMES OF REPORTING PERSONS<br>Armistice Capital, LLC | NAMES OF REPORTING PERSONS<br>Armistice Capital, LLC |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br> (a) ☐ (b) ☐ | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br> (a) ☐ (b) ☐ | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br> (a) ☐ (b) ☐ | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br> (a) ☐ (b) ☐ |
| 3 | SEC USE ONLY | SEC USE ONLY | SEC USE ONLY | SEC USE ONLY |
| 4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)<br>AF | SOURCE OF FUNDS (SEE INSTRUCTIONS)<br>AF | SOURCE OF FUNDS (SEE INSTRUCTIONS)<br>AF | SOURCE OF FUNDS (SEE INSTRUCTIONS)<br>AF |
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)<br>☐ | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)<br>☐ | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)<br>☐ | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)<br>☐ |
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION<br>Delaware | CITIZENSHIP OR PLACE OF ORGANIZATION<br>Delaware | CITIZENSHIP OR PLACE OF ORGANIZATION<br>Delaware | CITIZENSHIP OR PLACE OF ORGANIZATION<br>Delaware |
| NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 7 | SOLE VOTING POWER<br>0 |
| NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 8 | SHARED VOTING POWER<br>4,748,333 |
| NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 9 | SOLE DISPOSITIVE POWER<br>0 |
| NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 10 | SHARED DISPOSITIVE POWER<br>4,748,333 |
| 11 | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>4,748,333 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>4,748,333 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>4,748,333 |
| 12 | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)<br>☐ | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)<br>☐ | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)<br>☐ |
| 13 | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)<br>35.1% | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)<br>35.1% | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)<br>35.1% |
| 14 | 14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)<br>IA, OO | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)<br>IA, OO | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)<br>IA, OO |

---

------

CUSIP No. 05338F108

---

| | | | | |
|:---|:---|:---|:---|:---|
| 1 | NAMES OF REPORTING PERSONS<br>Steven Boyd | NAMES OF REPORTING PERSONS<br>Steven Boyd | NAMES OF REPORTING PERSONS<br>Steven Boyd | NAMES OF REPORTING PERSONS<br>Steven Boyd |
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br> (a) ☐ (b) ☐ | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br> (a) ☐ (b) ☐ | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br> (a) ☐ (b) ☐ | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br> (a) ☐ (b) ☐ |
| 3 | SEC USE ONLY | SEC USE ONLY | SEC USE ONLY | SEC USE ONLY |
| 4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)<br>AF | SOURCE OF FUNDS (SEE INSTRUCTIONS)<br>AF | SOURCE OF FUNDS (SEE INSTRUCTIONS)<br>AF | SOURCE OF FUNDS (SEE INSTRUCTIONS)<br>AF |
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)<br>☐ | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)<br>☐ | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)<br>☐ | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)<br>☐ |
| 6 | CITIZENSHIP OR PLACE OF ORGANIZATION<br>United States of America | CITIZENSHIP OR PLACE OF ORGANIZATION<br>United States of America | CITIZENSHIP OR PLACE OF ORGANIZATION<br>United States of America | CITIZENSHIP OR PLACE OF ORGANIZATION<br>United States of America |
| NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 7 | SOLE VOTING POWER<br>34,370 |
| NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 8 | SHARED VOTING POWER<br>4,748,333 |
| NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 9 | SOLE DISPOSITIVE POWER<br>34,370 |
| NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | NUMBER OF<br> SHARES<br> BENEFICIALLY<br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 10 | SHARED DISPOSITIVE POWER<br>4,748,333 |
| 11 | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>4,782,703 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>4,782,703 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>4,782,703 |
| 12 | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)<br>☐ | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)<br>☐ | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)<br>☐ |
| 13 | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)<br>35.4% | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)<br>35.4% | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)<br>35.4% |
| 14 | 14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)<br>IN, HC | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)<br>IN, HC | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)<br>IN, HC |

---

------

#### Amendment No. 26 to Schedule 13D
The following constitutes Amendment No. 26 to the Schedule 13D filed by the undersigned ("Amendment No. 26"). This Amendment No. 26 amends the Schedule 13D as specifically set forth herein.

All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Schedule 13D, as amended. Information given in response to each item shall be deemed incorporated by reference in all other items, as applicable.

#### Item 5. Interest in Securities of the Issuer
Item 5 of the Schedule 13D is hereby amended and restated as follows:

The information in Item 4 is incorporated herein by reference.

(a) and (b) Items 7 through 11 and 13 of each of the cover pages of this Schedule 13D are incorporated herein by reference. The shares of Common Stock reported to be beneficially owned by the Reporting Persons are based on 13,184,104 shares of Common Stock outstanding as of February 7, 2023, based on information in the Issuer's Prospectus Supplement filed with the SEC on February 3, 2023. Of the 4,748,333 shares of Common Stock beneficially owned by the Reporting Persons that are directly held by the Master Fund, 333,333 of such shares of Common Stock are issuable upon exercise of warrants directly held by the Master Fund and beneficially owned by the Reporting Persons.

Armistice Capital is the investment manager of the Master Fund, and pursuant to an Investment Management Agreement, Armistice Capital exercises voting and investment power over the securities of the Issuer held by the Master Fund and thus may be deemed to beneficially own the securities of the Issuer held by the Master Fund. Mr. Boyd, as the managing member of Armistice Capital, may be deemed to beneficially own the securities of the Issuer held by the Master Fund. The Master Fund specifically disclaims beneficial ownership of the securities of the Issuer directly held by it by virtue of its inability to vote or dispose of such securities as a result of its Investment Management Agreement with Armistice Capital.

(c) Except as disclosed in Schedule A hereto or elsewhere in this Schedule 13D, as amended, there have been no transactions in the shares of Common Stock by the Reporting Persons within the past 60 days.

(d) The disclosure in Item 2 is incorporated herein by reference.

(e) Not applicable.

#### Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
The Master Fund acquired 450,000 warrants to purchase Common Stock (the "2023 Warrants") together with the 450,000 shares of Common Stock referenced in Item 5(c) for $3.98 per share of Common Stock and each 2023 Warrant. The 2023 Warrants have an exercise price of $5.00 and expire on the first anniversary of issuance. The 2023 Warrants are subject to a 4.99% beneficial ownership limitation on exercise and therefore have no current effect on beneficial ownership.

------

SIGNATURE

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.

---

| |
|:---|
| <u>February 9, 2023</u> |
| (Date) |
| Armistice Capital, LLC |
| By: <u>/s/ Steven Boyd</u>  |
| Name: Steven Boyd |
| Title: Managing Member |
| Steven Boyd |
| <u>/s/ Steven Boyd</u>  |

---

------

#### SCHEDULE A

#### TRANSACTIONS
Except as otherwise disclosed in this Schedule 13D, as amended, the following table sets forth all transactions by the Reporting Persons (on behalf of the Master Fund) with respect to shares of Common Stock effected in the last 60 days, inclusive of any transactions effected through 4:00 p.m., New York City time, on February 9, 2023. Except as otherwise noted, all such transactions were purchases or sales of shares of Common Stock effected in the open market, and the table excludes commissions paid in per share prices.

---

| | | | |
|:---|:---|:---|:---|
| NATURE OF TRANSACTION | DATE OF<br> TRANSACTION | AMOUNT OF<br> SECURITIES | PRICE PER<br> SHARE /<br> PREMIUM PER<br> OPTION ($) |
| Purchase of Common Stock | 02/03/2023 | 334 | 3.95 |
| Purchase of Common Stock | 02/07/2023 | 450000 | (1) |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(1) Each share of Common Stock and accompanying warrant to purchase Common Stock were purchased together for $3.98