Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Baudax Bio, Inc.
(Name of Issuer)
Common Stock, $0.01 par value per share
(Title of Class of Securities)
07160F404
(CUSIP Number)
December 31, 2023
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| a. | ☐ | Rule 13d-1(b) |
| b. | ☒ | Rule 13d-1(c) |
| 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).
Page 1 of 6
| CUSIP No. | 07160F404 |
|
| | ||
| 1. | Names of Reporting Persons. |
| Mitchell P. Kopin | |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) |
| (a) ☐ | |
| (b) ☐ | |
| | |
| 3. | SEC Use Only |
| 4. | Citizenship or Place of Organization United States of America |
| Number
of Shares Beneficially Owned by Each Reporting Person With: |
5. Sole Voting Power | 0 |
| 6. Shared Voting Power | 814,383 | |
| 7. Sole Dispositive Power | 0 | |
| 8. Shared Dispositive Power | 814,383 |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 814,383 (see Item 4) |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ |
| 11. | Percent of Class Represented by Amount in Row (9) 1.8% (see Item 4) |
| 12. | Type of Reporting Person (See Instructions) |
| IN; HC |
Page 2 of 6
| CUSIP No. | 07160F404 |
|
| | ||
| 1. | Names of Reporting Persons. |
| Daniel B. Asher | |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) |
| (a) ☐ | |
| (b) ☐ | |
| | |
| 3. | SEC Use Only |
| 4. | Citizenship or Place of Organization United States of America |
| Number
of Shares Beneficially Owned by Each Reporting Person With: |
5. Sole Voting Power | 0 |
| 6. Shared Voting Power | 814,383 | |
| 7. Sole Dispositive Power | 0 | |
| 8. Shared Dispositive Power | 814,383 |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 814,383 (see Item 4) |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ |
| 11. | Percent of Class Represented by Amount in Row (9) 1.8% (see Item 4) |
| 12. | Type of Reporting Person (See Instructions) |
| IN; HC |
Page 3 of 6
| CUSIP No. | 07160F404 |
|
| | ||
| 1. | Names of Reporting Persons. |
| Intracoastal Capital LLC | |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) |
| (a) ☐ | |
| (b) ☐ | |
| | |
| 3. | SEC Use Only |
| 4. | Citizenship or Place of Organization Delaware |
| Number
of Shares Beneficially Owned by Each Reporting Person With: |
5. Sole Voting Power | 0 |
| 6. Shared Voting Power | 814,383 | |
| 7. Sole Dispositive Power | 0 | |
| 8. Shared Dispositive Power | 814,383 |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 814,383 (see Item 4) |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ |
| 11. | Percent of Class Represented by Amount in Row (9) 1.8% (see Item 4) |
| 12. | Type of Reporting Person (See Instructions) |
| OO |
Page 4 of 6
Page 5 of 6
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.
Date: February 6, 2024
| /s/ Mitchell P. Kopin | |
| Mitchell P. Kopin | |
| /s/ Daniel B. Asher | |
| Daniel B. Asher |
| Intracoastal Capital LLC | ||
| By: | /s/ Mitchell P. Kopin | |
| Mitchell P. Kopin, Manager | ||
Page 6 of 6