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    SEC Form SC 13D/A filed by AIM ImmunoTech Inc. (Amendment)

    8/28/23 6:36:26 AM ET
    $AIM
    Biotechnology: Biological Products (No Diagnostic Substances)
    Health Care
    Get the next $AIM alert in real time by email
    SC 13D/A 1 d531597dsc13da.htm SC 13D/A SC 13D/A

     

     

    UNITED STATES

    SECURITIES AND EXCHANGE COMMISSION

    Washington, D.C. 20549

     

     

    Schedule 13D

    Under the Securities Exchange Act of 1934

    (Amendment No. 2)

     

     

    AIM IMMUNOTECH INC.

    (Name of Issuer)

    Common Stock, par value $0.001 per share

    (Title of Class of Securities)

    00901B105

    (CUSIP Number)

    Todd Deutsch

    Ted D. Kellner

    c/o Baker & Hostetler LLP

    127 Public Square, Suite 2000

    Cleveland, Ohio 44114

    Attn: John J. Harrington

    (216) 621-0200

    (Name, Address and Telephone Number of Person

    Authorized to Receive Notices and Communications)

    August 25, 2023

    (Date of Event which Requires Filing of this Statement)

     

     

    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 §240.13d-1(e), §240.13d-1(f) or §240.13d-1(g), check the following box:  ☐

    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).

     

     

     


    SCHEDULE 13D

    CUSIP No. 00901B105

     

      1.   

    Names of Reporting Persons

     

    Todd Deutsch

      2.  

    Check the Appropriate Box if a Member of a Group

    (a)  ☒        (b)  ☐

     

      3.  

    SEC Use Only

     

      4.  

    Source of Funds (See Instructions)

     

    PF

      5.  

    Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

     

    ☐

      6.  

    Citizenship or Place of Organization

     

    United States of America

    Number of

    Shares

    Beneficially

    Owned by

    Each

    Reporting

    Person

    With

     

         7.    

    Sole Voting Power

     

    1,716,100

         8.   

    Shared Voting Power

     

    0

         9.   

    Sole Dispositive Power

     

    1,716,100

       10.   

    Shared Dispositive Power

     

    0

    11.  

    Aggregate Amount Beneficially Owned by Each Reporting Person

     

    1,716,100

    12.  

    Check if the Aggregate Amount in Row (11) Excludes Certain Shares

     

    ☒

    13.  

    Percent of Class Represented by Amount in Row (11)

     

    3.5%(1)

    14.  

    Type of Reporting Person

     

    IN

     

    (1)

    Percentage ownership based on 48,670,427 shares outstanding as reported in the Company’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 14, 2023.


    CUSIP No. 00901B105

     

      1.   

    Names of Reporting Persons

     

    Ted D. Kellner

      2.  

    Check the Appropriate Box if a Member of a Group

    (a)  ☒        (b)  ☐

     

      3.  

    SEC Use Only

     

      4.  

    Source of Funds (See Instructions)

     

    PF

      5.  

    Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

     

    ☐

      6.  

    Citizenship or Place of Organization

     

    United States of America

    Number of

    Shares

    Beneficially

    Owned by

    Each

    Reporting

    Person

    With

     

         7.    

    Sole Voting Power

     

    394,000

         8.   

    Shared Voting Power

     

    1,049,000

         9.   

    Sole Dispositive Power

     

    394,000

       10.   

    Shared Dispositive Power

     

    1,049,000

    11.  

    Aggregate Amount Beneficially Owned by Each Reporting Person

     

    1,443,000

    12.  

    Check if the Aggregate Amount in Row (11) Excludes Certain Shares

     

    ☒

    13.  

    Percent of Class Represented by Amount in Row (11)

     

    3.0%(1)

    14.  

    Type of Reporting Person

     

    IN

     

    (2)

    (1) Percentage ownership based on 48,670,427 shares outstanding as reported in the Company’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 14, 2023.


    SCHEDULE 13D

    This Amendment No. 2 (“Amendment No. 2”) amends and supplements the Schedule 13D filed with the Securities and Exchange Commission on July 27, 2023 (the “Initial Schedule 13D” and together with Amendment No. 1 thereto filed on August 7, 2023 and this Amendment No. 2, the “Schedule 13D”) by Todd Deutsch and Ted D. Kellner (the “Reporting Persons”) with respect to the Common Stock, par value $0.001 per share, of AIM ImmunoTech Inc. (the “Company”). Capitalized terms used herein and not otherwise defined in this Amendment No. 2 shall have the meanings set forth in the Schedule 13D. This Amendment No. 2 amends Item 4 and 7 to the extent set forth below.

    Item 4. Purpose of the Transaction

    Item 4 is hereby supplemented as follows:

    As previously disclosed, in accordance with the requirements of the Company’s bylaws, on August 4, 2023, Mr. Kellner delivered notice (the “Notice”) to the Company of his intent to nominate himself, Mr. Chioini and Mr. Deutsch for election to the Company’s board of directors at the 2023 annual meeting of stockholders. On August 23, 2023, the Company notified Mr. Kellner of the rejection of the Notice. On August 25, 2023, Mr. Kellner filed a complaint in the Delaware Court of Chancery seeking declarations that the bylaw amendments are unlawful, that the application of the bylaw amendments by the Board to reject the Notice is unlawful and/or inequitable and that the applicable directors breached their fiduciary duties in adopting the bylaw amendments and rejecting the Notice. Mr. Kellner also filed a motion for expedited proceedings and will seek a trial on the merits prior to the 2023 Annual Meeting of Stockholders.

    The Reporting Persons, along with Mr. Chioini, also issued a statement on August 28, 2023 responding to the Company’s rejection of the Notice and related public statements, a copy of which is attached as an exhibit hereto.

    The Reporting Persons are also attaching as exhibit hereto a copy of the Notice.

    Subject to market conditions, such as trading price and volume, as well as other factors as noted below, the Reporting Persons may acquire additional shares of Common Stock. Notwithstanding the foregoing, the Reporting Persons reiterate that it is not their intention, either alone or acting together with any other persons or group of persons, to acquire a control stake in the shares of Common Stock.

    Beyond the foregoing, the Reporting Persons will review their investments in the Company on a continuing basis and may in the future determine (1) to not acquire additional securities of the Company, (2) to dispose of all or a portion of the securities of the Company owned by them or (3) to take any other available course of action. Notwithstanding anything contained herein, the Reporting Persons specifically reserve the right to change their intention with respect to any or all of such matters. In reaching any decision as to its course of action (as well as to the specific elements thereof), the Reporting Persons currently expect that they would take into consideration a variety of factors, including, but not limited to, the following: the actions of the Company’s board and whether the Reporting Persons believe it is acting in the best interests of the


    Company’s stockholders; the Company’s business and prospects; other developments concerning the Company and its businesses generally; other business opportunities available to Company and the Reporting Persons; developments with respect to the businesses of the Reporting Persons; changes in law and government regulations; general economic conditions; and money and stock market conditions, including the market price of the securities of the Company.

    Except as described in this Schedule 13D, the Reporting Persons do not have any present plans or proposals that relate to or would result in any of the actions described in clauses (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to formulate plans and/or proposals and to take such actions with respect to their investment in the Company, including any or all of the actions set forth in clauses (a) through (j) of Item 4 of Schedule 13D.

    Item 7. Material to be Filed as Exhibits

    Item 7 is hereby supplemented by adding the following exhibits:

     

    Exhibit No.    Name
    1.    Statement of Kellner Group, dated August 28, 2023
    2.    Nomination Notice of Mr. Kellner, dated August 4, 2023


    SIGNATURES

    After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct.

    Date: August 28, 2023

     

    TODD DEUTSCH
    By:   /s/ Todd Deutsch
    TED D. KELLNER
    By:   /s/ Ted D. Kellner
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