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Unicycive Therapeutics (UNCY)

Filed: 20 Jan 22, 4:23pm
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G/A

(Amendment No. 1)

Under the Securities Exchange Act of 1934

UNICYCIVE THERAPEUTICS, INC.

 

(Name of Issuer)

Common Shares

 

(Title of Class of Securities)

90466Y103

 

(CUSIP Number)

December 31, 2021

 

(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

oRule 13d-1(b)
xRule 13d-1(c)
oRule 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 disclosures provided in a prior cover page.

The information required on 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. 90466Y103

13G/A

Page 2 of 9 Pages

        
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Rosalind Advisors, Inc.
  
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    o
(b)    o
  
3. SEC USE ONLY
 
  
4. CITIZENSHIP OR PLACE OF ORGANIZATION
 
ONTARIO, CANADA
  

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH

   
5. SOLE VOTING POWER
 
0
6. SHARED VOTING POWER
 
969,484
7. SOLE DISPOSITIVE POWER
 
0
8. SHARED DISPOSITIVE POWER
 
969,484
     
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

969,484
  
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    ¨
  
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.5%1
  
12. TYPE OF REPORTING PERSON (see instructions)

CO
  

 

 

1 This percentage is calculated based upon 14,972,552 shares of the Issuer’s common stock outstanding as of November 10, 2021 in accordance with 10-Q filed on November 12, 2021.

 
 
   

CUSIP No. 90466Y103

13G/A

Page 3 of 9 Pages

        
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Steven Salamon
  
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    o
(b)    o
  
3. SEC USE ONLY
 
  
4. CITIZENSHIP OR PLACE OF ORGANIZATION
 
ONTARIO, CANADA
  

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH

   
5. SOLE VOTING POWER
 
0
6. SHARED VOTING POWER
 
969,484
7. SOLE DISPOSITIVE POWER
 
0
8. SHARED DISPOSITIVE POWER
 
969,484
     
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

969,484
  
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    ¨
  
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.5%1
  
12. TYPE OF REPORTING PERSON (see instructions)

IN
  
 
 
   

CUSIP No. 90466Y103

13G/A

Page 4 of 9 Pages

        
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Gilad Aharon
  
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    o
(b)    o
  
3. SEC USE ONLY
 
  
4. CITIZENSHIP OR PLACE OF ORGANIZATION
 
ONTARIO, CANADA
  

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH

   
5. SOLE VOTING POWER
 
0
6. SHARED VOTING POWER
 
969,484
7. SOLE DISPOSITIVE POWER
 
0
8. SHARED DISPOSITIVE POWER
 
969,484
     
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

969,484
  
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    ¨
  
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.5%1
  
12. TYPE OF REPORTING PERSON (see instructions)

IN
  
 
 
   

CUSIP No. 90466Y103

13G/A

Page 5 of 9 Pages

        
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Rosalind Master Fund L.P.
  
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    o
(b)    o
  
3. SEC USE ONLY
 
  
4. CITIZENSHIP OR PLACE OF ORGANIZATION
 
CAYMAN ISLANDS
  

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH

   
5. SOLE VOTING POWER
 
0
6. SHARED VOTING POWER
 
969,484
7. SOLE DISPOSITIVE POWER
 
0
8. SHARED DISPOSITIVE POWER
 
969,484
     
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

969,484
  
10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    ¨
  
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.5%1
  
12. TYPE OF REPORTING PERSON (see instructions)

PN
  
 
 
     
CUSIP No. 90466Y103 13G/A Page 6 of 9 Pages
     

Item 1.

 

 (a)Name of Issuer: UNICYCIVE THERAPEUTICS, INC.
   
 (b)

Address of Issuer’s Principal Executive Offices
5150 El Camino Real, Suite A-32 Los Altos, CA 94022

   

Item 2.

 

 (a)

Name of Person Filing

Rosalind Advisors, Inc. (“Advisor” to RMF)

Rosalind Master Fund L.P. (“RMF”)

Steven Salamon (“President”)

Steven Salamon is the portfolio manager of the Advisor which advises RMF.

Gilad Aharon is the portfolio manager and member of the Advisor which advises RMF.

   
 (b)

Address of the Principal Office or, if none, residence
Rosalind Advisors, Inc.

175 Bloor Street East

Suite 1316, North Tower

Toronto, Ontario

M4W 3R8 Canada

 

Rosalind Master Fund L.P.

P.O. Box 309

Ugland House, Grand Cayman

KY1-1104, Cayman Islands

 

Steven Salamon

175 Bloor Street East

Suite 1316, North Tower

Toronto, Ontario

M4W 3R8 Canada

 

Gilad Aharon

175 Bloor Street East

Suite 1316, North Tower

Toronto, Ontario

M4W 3R8 Canada

   
 (c)

Citizenship
Rosalind Advisors, Inc.: Ontario, Canada

 

Rosalind Master Fund L.P.: Cayman Islands

 

Steven Salamon: Ontario, Canada

 

Gilad Aharon: Ontario, Canada

   
 (d)Title of Class of Securities
Common Stock
   
 (e)CUSIP Number
90466Y103
 
 

    
CUSIP No. 90466Y103 13G/A Page 7 of 9 Pages
     
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)oBroker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
    
 (b)oBank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
    
 (c)oInsurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
    
 (d)oInvestment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
    
 (e)oAn investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
    
 (f)oAn employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
    
 (g)oA parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
    
 (h)oA savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
    
 (i)oA 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)oGroup, in accordance with §240.13d-1(b)(1)(ii)(J).
    
Item 4.Ownership.
  

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

     
 (a) 

Amount beneficially owned:   

Rosalind Master Fund L.P. is the record owner of 969,484 shares of common stock.

Rosalind Advisors, Inc. is the investment advisor to RMF and may be deemed to be the beneficial owner of shares held by RMF. Steven Salamon is the portfolio manager of the Advisor and may be deemed to be the beneficial owner of shares held by RMF. Notwithstanding the foregoing, the Advisor and Mr. Salamon disclaim beneficial ownership of the shares.

     
 (b) 

Percent of class:  

Rosalind Advisors, Inc. – 6.5%

Rosalind Master Fund L.P. – 6.5%

Steven Salamon – 6.5%

 
 

    
CUSIP No. 90466Y103 13G/A Page 8 of 9 Pages
     
     
 (c)                          Number of shares as to which the person has:  
    
   (i)

Shared power to vote or to direct the vote  

Rosalind Advisors, Inc. – 969,484

Rosalind Master Fund L.P. – 969,484

Steven Salamon – 969,484

Gilad Aharon – 969,484

     
   (ii)Sole power to dispose or to direct the disposition of  – 0
     
   (iii)

Shared power to dispose or to direct the disposition of  

Rosalind Advisors, Inc. – 969,484

Rosalind Master Fund L.P. – 969,484

Steven Salamon – 969,484

Gilad Aharon – 969,484

          

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

Item 5.Ownership of Five Percent or Less of a Class.
  

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  o.

Instruction. Dissolution of a group requires a response to this item.

Item 6.Ownership of More than Five Percent on Behalf of Another Person.
  
Item 7– 9.Not Applicable.
 
 

    
CUSIP No. 90466Y103 13G/A Page 9 of 9 Pages
     
Item 10.Certification.
    
   By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
    

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.

  
 

01/20/2022

  Date
  
 /s/ Steven Salamon
  Signature
  
 Steven Salamon/President Rosalind Advisors, Inc.
 Name/Title