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    SEC Form SC 13G filed by Autonomix Medical Inc.

    12/3/24 6:17:58 PM ET
    $AMIX
    Medical/Dental Instruments
    Health Care
    Get the next $AMIX alert in real time by email
    SC 13G 1 p24-3470sc13g.htm AUTONOMIX MEDICAL, INC.

     

    SECURITIES AND EXCHANGE COMMISSION
    Washington, D.C. 20549
     
     
    SCHEDULE 13G
     
     
    Under the Securities Exchange Act of 1934
     
    (Amendment No.  )*
     

    Autonomix Medical, Inc.

    (Name of Issuer)
     

    Common stock, par value $0.001 per share

    (Title of Class of Securities)
     

    05330T205

    (CUSIP Number)
     

    November 25, 2024

    (Date of Event Which Requires Filing of this Statement)
     
     
    Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed:
     
    ¨ Rule 13d-1(b)
    x Rule 13d-1(c)
    ¨ Rule 13d-1(d)
     
    (Page 1 of 13 Pages)

     

    ______________________________

    * 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 (the “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. 05330T20513GPage 2 of 13 Pages

     

    1

    NAMES OF REPORTING PERSONS

    Cavalry Fund I LP

    2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

    (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

    305,810 shares of Common Stock (including 241,810 shares of Common stock issuable upon the exercise of warrants)* (see Item 4)

    7

    SOLE DISPOSITIVE POWER

    - 0 -

    8

    SHARED DISPOSITIVE POWER

    305,810 shares of Common Stock (including 241,810 shares of Common stock issuable upon the exercise of warrants)* (see Item 4)

    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    305,810 shares of Common Stock (including 241,810 shares of Common stock issuable upon the exercise of warrants)* (see Item 4)

    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    9.99%* (see Item 4)

    12

    TYPE OF REPORTING PERSON

    PN

             

     

    * As more fully described in Item 4, Cavalry Fund I (as defined below) holds warrants subject to a 9.99% beneficial ownership blocker and the percentage set forth in row (11) gives effect to such 9.99% beneficial ownership blocker. However, the shares of Common Stock reported as being issuable upon the exercise of warrants in rows (6), (8) and (9) reflect the full exercise of the warrants reported on this cover page, and does not give effect to the 9.99% beneficial ownership blockers. Therefore, the actual number of shares of Common Stock beneficially owned by the Reporting Person, after giving effect to the 9.99% beneficial ownership blockers, is less than the number of shares of Common Stock reported in rows (6), (8) and (9) to be issuable upon the exercise of the warrants.

     

    CUSIP No. 05330T20513GPage 3 of 13 Pages

     

     

    1

    NAMES OF REPORTING PERSONS

    C/M Capital Master Fund, LP

    2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

    (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

    305,810 shares of Common Stock (including 241,810 shares of Common stock issuable upon the exercise of warrants)* (see Item 4)

    7

    SOLE DISPOSITIVE POWER

    - 0 -

    8

    SHARED DISPOSITIVE POWER

    305,810 shares of Common Stock (including 241,810 shares of Common stock issuable upon the exercise of warrants)* (see Item 4)

    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    305,810 shares of Common Stock (including 241,810 shares of Common stock issuable upon the exercise of warrants)* (see Item 4)

    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    9.99%* (see Item 4)

    12

    TYPE OF REPORTING PERSON

    PN

             

     

    * As more fully described in Item 4, C/M Master Fund (as defined below) holds warrants subject to a 9.99% beneficial ownership blocker and the percentage set forth in row (11) gives effect to such 9.99% beneficial ownership blockers. However, the shares of Common Stock reported as being issuable upon the exercise of warrants in rows (6), (8) and (9) reflect the full exercise of the warrants reported on this cover page and does not give effect to the 9.99% beneficial ownership blockers. Therefore, the actual number of shares of Common Stock beneficially owned by the Reporting Person, after giving effect to the 9.99% beneficial ownership blockers, is less than the number of shares of Common Stock reported in rows (6), (8) and (9) to be issuable upon the exercise of the warrants.

     

    CUSIP No. 05330T20513GPage 4 of 13 Pages

     

    1

    NAMES OF REPORTING PERSONS

    C/M Capital Partners, LP

    2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

    (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

    611,620 shares of Common Stock (including 483,620 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    7

    SOLE DISPOSITIVE POWER

    - 0 -

    8

    SHARED DISPOSITIVE POWER

    611,620 shares of Common Stock (including 483,620 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    611,620 shares of Common Stock (including 483,620 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    9.9%* (see Item 4)

    12

    TYPE OF REPORTING PERSON

    PN

             

     

    * As more fully described in Item 4, the warrants held by Cavalry Fund I and C/M Master Fund are subject to a 9.99% beneficial ownership blocker, and the percentage set forth in row (11) gives effect to such 9.99% beneficial ownership blocker. However, as more fully described in Item 4, the shares of Common Stock reported as being issuable upon the exercise of warrants in rows (6), (8) and (9) include the number of shares of Common Stock that would be issuable upon the exercise in full of the warrants held by Cavalry Fund I and C/M Master Fund and does not give effect to the 9.99% beneficial ownership blockers. Therefore, the actual number of shares of Common Stock beneficially owned by the Reporting Person, after giving effect to the 9.99% beneficial ownership blockers, is less than the number of shares of Common Stock reported in rows (6), (8) and (9) to be issuable upon the exercise of the warrants.

     

    CUSIP No. 05330T20513GPage 5 of 13 Pages

     

     

    1

    NAMES OF REPORTING PERSONS

    Mercer Street Global Opportunity Fund, LLC

    2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

    (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

    152,904 shares of Common Stock (including 120,904 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    7

    SOLE DISPOSITIVE POWER

    - 0 -

    8

    SHARED DISPOSITIVE POWER

    152,904 shares of Common Stock (including 120,904 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    152,904 shares of Common Stock (including 120,904 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    7.1%* (see Item 4)

    12

    TYPE OF REPORTING PERSON

    OO

             

     

    * As more fully described in Item 4, Mercer Fund (as defined below) holds warrants subject to a 9.99% beneficial ownership blocker. The percentage set forth on row (11) and the number of shares of Common Stock set forth on rows (6), (8) and (9) reflect the full exercise of the warrants reported on this cover page, however, the ability to exercise such warrants at any given time is subject to such blockers which apply to the beneficial ownership of the Reporting Persons in the aggregate.

     

    CUSIP No. 05330T20513GPage 6 of 13 Pages

     

     

    1

    NAMES OF REPORTING PERSONS

    Mercer Street Capital Partners, LLC

    2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

    (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

    152,904 shares of Common Stock (including 120,904 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    7

    SOLE DISPOSITIVE POWER

    - 0 -

    8

    SHARED DISPOSITIVE POWER

    152,904 shares of Common Stock (including 120,904 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    152,904 shares of Common Stock (including 120,904 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    7.1%* (see Item 4)

    12

    TYPE OF REPORTING PERSON

    OO

             

     

    * As more fully described in Item 4, Mercer Fund holds warrants subject to a 9.99% beneficial ownership blocker. The percentage set forth on row (11) and the number of shares of Common Stock set forth on rows (6), (8) and (9) reflect the full exercise of the warrants reported on this cover page, however, the ability to exercise such warrants at any given time is subject to such blockers which apply to the beneficial ownership of the Reporting Persons in the aggregate.

     

    CUSIP No. 05330T20513GPage 7 of 13 Pages

     

    1

    NAMES OF REPORTING PERSONS

    Thomas Walsh

    2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

    (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

    611,620 shares of Common Stock (including 483,620 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    7

    SOLE DISPOSITIVE POWER

    - 0 -

    8

    SHARED DISPOSITIVE POWER

    611,620 shares of Common Stock (including 483,620 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    611,620 shares of Common Stock (including 483,620 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    9.9%* (see Item 4)

    12

    TYPE OF REPORTING PERSON

    IN

             

     

    * As more fully described in Item 4, the warrants held by Cavalry Fund I and C/M Master Fund are subject to a 9.99% beneficial ownership blocker, and the percentage set forth in row (11) gives effect to such 9.99% beneficial ownership blockers. However, as more fully described in Item 4, the shares of Common Stock reported as being issuable upon the exercise of warrants in rows (6), (8) and (9) include the number of shares of Common Stock that would be issuable upon the exercise in full of the warrants held by Cavalry Fund I and C/M Master Fund and does not give effect to the beneficial ownership blockers. Therefore, the actual number of shares of Common Stock beneficially owned by the Reporting Person, after giving effect to the 9.99% beneficial ownership blockers, is less than the number of shares of Common Stock reported in rows (6), (8) and (9) to be issuable upon the exercise of the warrants.

     

     

    CUSIP No. 05330T20513GPage 8 of 13 Pages

     

     

    1

    NAMES OF REPORTING PERSONS

    Jonathan Juchno

    2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

    (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

    764,524 shares of Common Stock (including 604,524 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    7

    SOLE DISPOSITIVE POWER

    - 0 -

    8

    SHARED DISPOSITIVE POWER

    764,524 shares of Common Stock (including 604,524 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    764,524 shares of Common Stock (including 604,524 shares of Common Stock issuable upon the exercise of warrants)* (see Item 4)

    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    9.9%* (see Item 4)

    12

    TYPE OF REPORTING PERSON

    IN

             

     

    * As more fully described in Item 4, the warrants held by the Funds (as defined below) are subject to a 9.99% beneficial ownership blocker, and the percentage set forth in row (11) gives effect to such 9.99% beneficial ownership blocker. However, as more fully described in Item 4, the shares of Common Stock reported as being issuable upon the exercise of warrants in rows (6), (8) and (9) include the number of shares of Common Stock that would be issuable upon the exercise in full of the warrants held by the Funds and does not give effect to the 9.99% beneficial ownership blocker. Therefore, the actual number of shares of Common Stock beneficially owned by the Reporting Person, after giving effect to the 9.99% beneficial ownership blockers, is less than the number of shares of Common Stock reported in rows (6), (8) and (9) to be issuable upon the exercise of the warrants.

     

     

    CUSIP No. 05330T20513GPage 9 of 13 Pages

     

     

    Item 1(a). NAME OF ISSUER.
       
      The name of the issuer is Autonomix Medical, Inc. (the “Issuer”).

     

    Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
       
      The Issuer's principal executive offices are located at 21 Waterway Avenue, Suite 300, The Woodlands, TX 77380.

     

    Item 2(a). NAME OF PERSON FILING:
       
      This statement is filed by:

     

      (i) Cavalry Fund I LP, a Delaware limited partnership (“Cavalry Fund I”);
         
      (ii) C/M Capital Master Fund, LP, a Delaware limited partnership (“C/M Master Fund”);
         
      (iii) C/M Capital Partners, LP, a Delaware limited partnership (“C/M Capital Partners”);
         
      (iv) Mercer Street Global Opportunity Fund, LLC, a Delaware limited liability company  (“Mercer Fund,” together with Cavalry Fund I and C/M Master Fund, the “Funds”);
         
      (v) Mercer Street Capital Partners, LLC, a Delaware limited liability company (“Mercer Capital Partners”);
         
      (vi) Thomas Walsh (“Mr. Walsh”); and
         
      (vii) Jonathan Juchno (“Mr. Juchno”).

     

      The foregoing persons are hereinafter sometimes collectively referred to as the “Reporting Persons.”  
       
      The filing of this statement should not be construed as an admission that any of the Reporting Persons is, for the purposes of Section 13 of the Act, the beneficial owner of the securities reported herein.
       
     

    The shares of Common Stock reported herein are held by, and issuable upon exercise of warrants held by, the Funds. C/M Capital Partners is the investment manager to Cavalry Fund I and C/M Master Fund. Messrs. Walsh and Juchno are the managing members of the general partner of C/M Capital Partners. Mercer Capital Partners is the investment manager to Mercer Fund. Mr. Juchno controls Mercer Capital Partners. Mr. Walsh may be deemed to beneficially own the securities held by, and issuable upon exercise of the warrants held by, Cavalry Fund I and C/M Master Fund. To the extent Mr. Walsh is deemed to beneficially own such securities, Mr. Walsh disclaims beneficial ownership of these securities for all other purposes.

     

     

    CUSIP No. 05330T20513GPage 10 of 13 Pages

     

     

      Mr. Juchno may be deemed to beneficially own the securities held by, and issuable upon exercise of the warrants held by, the Funds. To the extent Mr. Juchno is deemed to beneficially own such securities, Mr. Juchno disclaims beneficial ownership of these securities for all other purposes.

     

    Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
       
      The address of the business office of each of the Reporting Persons is 61 82 E. Allendale Rd. Ste 5B, Saddle River, New Jersey 07458.

     

    Item 2(c). CITIZENSHIP:
       
      Cavalry Fund I is a limited partnership organized under the laws of the State of Delaware. C/M Master Fund is a limited partnership organized under the laws of the State of Delaware. C/M Capital Partners is a limited partnership organized under the laws of the State of Delaware. Mercer Fund is a limited liability company organized under the laws of the State of Delaware. Mercer Capital Partners is a limited liability company organized under the laws of the State of Delaware. Mr. Walsh is a citizen of the United States. Mr. Juchno is a citizen of the United States.

     

    Item 2(d). TITLE OF CLASS OF SECURITIES:
       
      Common stock, $0.001 par value per share (“Common Stock”).

     

    Item 2(e). CUSIP NUMBER:
       
      05330T205

     

    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) ¨ Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
      (f) ¨

    Employee benefit plan or endowment fund in accordance with

    Rule 13d-1(b)(1)(ii)(F);

     

      (g) ¨

    Parent holding company or control person in accordance with

    Rule 13d-1(b)(1)(ii)(G);

      (h) ¨ Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

     

    CUSIP No. 05330T20513GPage 11 of 13 Pages

     

     

      (i) ¨

    Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

     

      (j) ¨ Non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
      (k) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

     

     

    If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please

    specify the type of institution: ___________________________________________

     

    Item 4. OWNERSHIP:
       
      The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.  
       
      The percentages used in this Schedule 13G are calculated based on 2,039,495 shares of Common Stock outstanding as reported in the Company’s Prospectus filed pursuant to Rule 424(b)(4) with the Securities and Exchange Commission on November 25, 2024 and in the Company's Current Report on Form 8-K filed with the Securities and Exchange Commission on November 25,2024, after giving effect to the completion of the offering and the partial exercise of the underwriters' over-allotment option, all as described therein, and assumes the exercise of the reported warrants held by each of the Funds, subject to the 9.99% Blockers (as defined below).
       
     

    Pursuant to the terms of the warrants held by the Funds, the Funds cannot exercise the warrants to the extent any of the Reporting Persons would beneficially own, after such exercise, more than 9.99% of the outstanding shares of Common Stock (the “9.99% Blockers”). The number of shares of Common Stock set forth on rows (6), (8) and (9) of the cover page for each Reporting Person is the number of shares of Common Stock issuable upon exercise in full of the warrants and does not give effect to the 9.99% Blockers, however the percentage set forth in Row (11) of the cover page for each Reporting Person does give effect to the 9.99% Blockers where applicable. Consequently, at this time, the Reporting Persons are not able to exercise all the warrants held by the Funds due to the 9.99% Blockers.

     

    Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
       
      Not applicable.

     

    Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
       
      Not applicable.

     

    Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
       
      Not applicable.

     

     

    CUSIP No. 05330T20513GPage 12 of 13 Pages

     

     

    Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
       
      Not applicable.

     

    Item 9. NOTICE OF DISSOLUTION OF GROUP.
       
      Not applicable.

     

    Item 10. CERTIFICATION.

     

      Each of the Reporting Persons hereby makes the following certification:
       
      By signing below, each Reporting Person certifies that, to the best of his or its 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.

     

     

    CUSIP No. 05330T20513GPage 13 of 13 Pages

     SIGNATURES

     

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

    DATED: December 3, 2024

     

      Cavalry Fund I LP
      By: Cavalry Fund I GP LLC, its General Partner
         
      By: /s/ Thomas Walsh
        Name: Thomas Walsh
        Title: Manager

     

      C/M Capital Master Fund, LP
      By: C/M Global GP, LLC, its General Partner
         
      By: /s/ Thomas Walsh
        Name: Thomas Walsh
        Title: Manager

     

      C/M Capital Partners, LP
       
      By: /s/ Thomas Walsh
        Name: Thomas Walsh
        Title: Partner

     

     
    Mercer Street Global Opportunity Fund, LLC
      By: NFSO, LLC, its General Partner
       
      By: /s/ Jonathan Juchno
         Name: Jonathan Juchno
        Title: Authorized Representative

     

      Mercer Street Capital Partners, LLC
       
      By: /s/ Jonathan Juchno
         Name: Jonathan Juchno
         Title: Authorized Representative

     

     

      /s/ Thomas Walsh
         Thomas Walsh

     

     

      /s/ Jonathan Juchno
         Jonathan Juchno

     

     

      

     

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      Video testimonial demonstrates pain reduction after transvascular nerve ablation, suggesting potential for improving quality of life in late-stage cancer care Patient testimonial now available here THE WOODLANDS, TX, May 05, 2025 (GLOBE NEWSWIRE) -- Autonomix Medical, Inc. (NASDAQ:AMIX) ("Autonomix" or the "Company"), a medical device company focused on advancing innovative technologies to revolutionize how diseases involving the nervous system are diagnosed and treated, today announced the release of a new video testimonial from a patient participating in the initial phase of its first-in-human proof-of-concept trial ("PoC 1") evaluating the safety and effectiveness of delivering transv

      5/5/25 8:30:00 AM ET
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    • Autonomix Medical, Inc. (NASDAQ: AMIX) Participates in Virtual Investor "What This Means" Segment Highlighting Key Learnings from First-In-Human Trial and Extension into Visceral Cancer Pain

      Dr. Robert Schwartz, Chief Medical Officer of Autonomix, discusses key learnings from initial trial phase ("POC 1") where clinically meaningful pain reduction was demonstrated Outlines Company's plans to initiate market expansion study ("POC 2") into additional visceral cancers and earlier stage pancreatic cancer, expected to begin Q2 2025 Access the "What This Means" video here THE WOODLANDS, TX, May 01, 2025 (GLOBE NEWSWIRE) -- Autonomix Medical, Inc. (NASDAQ:AMIX) ("Autonomix" or the "Company"), a medical device company focused on advancing innovative technologies to revolutionize how diseases involving the nervous system are diagnosed and treated, today announced that it recently pa

      5/1/25 9:25:00 AM ET
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    • Autonomix Medical, Inc. Reports Positive Outcomes in Initial Phase of First-in-Human Proof-of-Concept Trial in Pancreatic Cancer Pain and Initiates Market Expansion Study for Visceral Cancer Pain

      Initial trial phase ("PoC 1") achieved key learnings and met all study objectives Clinically meaningful pain reduction with 100% of responders achieving zero opioid use at 7 days post-procedure and 73% of responders remaining opioid free at 4-6 week follow-up Company has initiated market expansion study ("PoC 2") of additional visceral cancers, and earlier stage pancreatic cancer, to begin in Q2 2025 Additional indications potentially double the addressable market beyond pancreatic cancer pain THE WOODLANDS, TX, April 30, 2025 (GLOBE NEWSWIRE) -- Autonomix Medical, Inc. (NASDAQ:AMIX) ("Autonomix" or the "Company"), a medical device company focused on advancing innovative technologies

      4/30/25 8:15:00 AM ET
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    Insider Trading

    Insider transactions reveal critical sentiment about the company from key stakeholders. See them live in this feed.

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    • SEC Form 4 filed by Director Robins David Andrew

      4 - Autonomix Medical, Inc. (0001617867) (Issuer)

      7/26/24 4:06:58 PM ET
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    • SEC Form 4 filed by Director Bisson Lori

      4 - Autonomix Medical, Inc. (0001617867) (Issuer)

      6/24/24 5:10:04 PM ET
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    • SEC Form 4 filed by Director Klemp Walter V

      4 - Autonomix Medical, Inc. (0001617867) (Issuer)

      6/24/24 5:09:31 PM ET
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    Large Ownership Changes

    This live feed shows all institutional transactions in real time.

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    • SEC Form SC 13G filed by Autonomix Medical Inc.

      SC 13G - Autonomix Medical, Inc. (0001617867) (Subject)

      12/3/24 6:17:58 PM ET
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    • SEC Form SC 13G filed by Autonomix Medical Inc.

      SC 13G - Autonomix Medical, Inc. (0001617867) (Subject)

      11/27/24 10:15:18 AM ET
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    • SEC Form SC 13G filed by Autonomix Medical Inc.

      SC 13G - Autonomix Medical, Inc. (0001617867) (Subject)

      10/7/24 8:30:24 AM ET
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    SEC Filings

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    • Autonomix Medical Inc. filed SEC Form 8-K: Regulation FD Disclosure, Financial Statements and Exhibits

      8-K - Autonomix Medical, Inc. (0001617867) (Filer)

      4/30/25 8:15:11 AM ET
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    • SEC Form EFFECT filed by Autonomix Medical Inc.

      EFFECT - Autonomix Medical, Inc. (0001617867) (Filer)

      3/12/25 12:15:04 AM ET
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    • Amendment: SEC Form S-3/A filed by Autonomix Medical Inc.

      S-3/A - Autonomix Medical, Inc. (0001617867) (Filer)

      3/7/25 5:28:29 PM ET
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    Leadership Updates

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    • Autonomix Medical, Inc. Drives Towards U.S. Pivotal Trial with Appointment of Vice President, Regulatory Affairs and Quality

      Continued efforts to build team and infrastructure required to support clinical and regulatory initiatives in anticipation of the FDA approval process for first-in-class catheter-based sensing technology Company remains on track to submit an Investigational Device Exemption ("IDE"), and if approved, will commence a pivotal clinical trial in 2025 to support a De Novo application for FDA approval THE WOODLANDS, TX , Dec. 19, 2024 (GLOBE NEWSWIRE) -- Autonomix Medical, Inc. (NASDAQ:AMIX) ("Autonomix" or the "Company"), a medical device company focused on advancing innovative technologies to revolutionize how diseases involving the nervous system are diagnosed and treated, today announced th

      12/19/24 8:30:00 AM ET
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    • Autonomix Enhances Executive Leadership Team with Appointment of Proven Medical Technology Leader, Brad Hauser, as President and Chief Executive Officer

      Former President and Chief Executive Officer, Lori Bisson, appointed as Executive Vice Chairman THE WOODLANDS, TX, June 17, 2024 (GLOBE NEWSWIRE) -- Autonomix Medical, Inc. (NASDAQ:AMIX) ("Autonomix" or the "Company"), a medical device company focused on advancing innovative technologies to revolutionize how diseases involving the nervous system are diagnosed and treated, today announced changes to its executive leadership team to support its next pivotal phase of development. Effective immediately, Brad Hauser has been appointed as President and Chief Executive Officer. Additionally, Lori Bisson, former President and Chief Executive Officer, has been appointed Executive Vice Chairman

      6/17/24 4:05:00 PM ET
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    • Autonomix Appoints Jennifer Cook as Chief Business Officer

      Proven executive with 28 years of success building winning B2C & B2B businesses, brands, and teams for premier consumer, healthcare, and medical technology brands THE WOODLANDS, TX, March 19, 2024 (GLOBE NEWSWIRE) -- Autonomix Medical, Inc. (NASDAQ:AMIX) ("Autonomix" or the "Company"), a medical device company focused on advancing innovative technologies to revolutionize how diseases involving the nervous system are diagnosed and treated, today announced the appointment of Jennifer Cook as its Chief Business Officer. Mrs. Cook is an innovative, cross-functional leader with significant expertise working with early developmental stage companies and building them into fully integrated c

      3/19/24 8:45:00 AM ET
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