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    SEC Form SCHEDULE 13G filed by Avalo Therapeutics Inc.

    5/15/25 4:36:03 PM ET
    $AVTX
    Biotechnology: Pharmaceutical Preparations
    Health Care
    Get the next $AVTX alert in real time by email



    SECURITIES AND EXCHANGE COMMISSION
    Washington, D.C. 20549


    SCHEDULE 13G


    UNDER THE SECURITIES EXCHANGE ACT OF 1934
    AVALO THERAPEUTICS, INC.

    (Name of Issuer)


    Common Stock, $0.001 par value

    (Title of Class of Securities)


    05338F306

    (CUSIP Number)


    03/31/2025

    (Date of Event Which Requires Filing of this Statement)


    Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
    Checkbox checked   Rule 13d-1(b)
    Checkbox not checked   Rule 13d-1(c)
    Checkbox not checked   Rule 13d-1(d)






    SCHEDULE 13G

    CUSIP No.
    05338F306


    1Names of Reporting Persons

    Nantahala Capital Management, LLC
    2Check the appropriate box if a member of a Group (see instructions)

    Checkbox not checked  (a)
    Checkbox not checked  (b)
    3Sec Use Only
    4Citizenship or Place of Organization

    MASSACHUSETTS
    Number of Shares Beneficially Owned by Each Reporting Person With:
    5Sole Voting Power

    0.00
    6Shared Voting Power

    900,000.00
    7Sole Dispositive Power

    0.00
    8Shared Dispositive Power

    900,000.00
    9Aggregate Amount Beneficially Owned by Each Reporting Person

    900,000.00
    10Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

    Checkbox not checked
    11Percent of class represented by amount in row (9)

    8.43 %
    12Type of Reporting Person (See Instructions)

    IA


    SCHEDULE 13G

    CUSIP No.
    05338F306


    1Names of Reporting Persons

    Wilmot B. Harkey
    2Check the appropriate box if a member of a Group (see instructions)

    Checkbox not checked  (a)
    Checkbox not checked  (b)
    3Sec Use Only
    4Citizenship or Place of Organization

    UNITED STATES
    Number of Shares Beneficially Owned by Each Reporting Person With:
    5Sole Voting Power

    0.00
    6Shared Voting Power

    900,000.00
    7Sole Dispositive Power

    0.00
    8Shared Dispositive Power

    900,000.00
    9Aggregate Amount Beneficially Owned by Each Reporting Person

    900,000.00
    10Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

    Checkbox not checked
    11Percent of class represented by amount in row (9)

    8.43 %
    12Type of Reporting Person (See Instructions)

    HC


    SCHEDULE 13G

    CUSIP No.
    05338F306


    1Names of Reporting Persons

    Daniel Mack
    2Check the appropriate box if a member of a Group (see instructions)

    Checkbox not checked  (a)
    Checkbox not checked  (b)
    3Sec Use Only
    4Citizenship or Place of Organization

    UNITED STATES
    Number of Shares Beneficially Owned by Each Reporting Person With:
    5Sole Voting Power

    0.00
    6Shared Voting Power

    900,000.00
    7Sole Dispositive Power

    0.00
    8Shared Dispositive Power

    900,000.00
    9Aggregate Amount Beneficially Owned by Each Reporting Person

    900,000.00
    10Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

    Checkbox not checked
    11Percent of class represented by amount in row (9)

    8.43 %
    12Type of Reporting Person (See Instructions)

    HC


    SCHEDULE 13G

    Item 1. 
    (a)Name of issuer:

    AVALO THERAPEUTICS, INC.
    (b)Address of issuer's principal executive offices:

    540 GAITHER ROAD SUITE 400 ROCKVILLE, MARYLAND, 20850
    Item 2. 
    (a)Name of person filing:

    (1) Nantahala Capital Management, LLC ("Nantahala") (2) Wilmot B. Harkey (3) Daniel Mack (together the "Reporting Persons")
    (b)Address or principal business office or, if none, residence:

    130 Main St. 2nd Floor, New Canaan, Connecticut 06840
    (c)Citizenship:

    (1) Nantahala is a Massachusetts limited liability company. (2) Each of Messrs. Harkey and Mack is a citizen of the United States of America.
    (d)Title of class of securities:

    Common Stock, $0.001 par value
    (e)CUSIP No.:

    05338F306
    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)Checkbox not checked   Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
    (b)Checkbox not checked   Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
    (c)Checkbox not checked   Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
    (d)Checkbox not checked   Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
    (e)Checkbox checked   An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
    (f)Checkbox not checked   An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
    (g)Checkbox checked   A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
    (h)Checkbox not checked   A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
    (i)Checkbox not checked   A 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)Checkbox not checked   A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J),
           please specify the type of institution:
    (k)Checkbox not checked   Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
     
    Item 4.Ownership
    (a)Amount beneficially owned:

    As of March 31, 2025, Nantahala may be deemed to be the beneficial owner of 900,000 Shares held by funds and separately managed accounts under its control, and as the managing members of Nantahala, each of Messrs. Harkey and Mack may be deemed to be a beneficial owner of those Shares.
    (b)Percent of class:

    As of March 31, 2025, each of the Reporting Persons may be deemed to be the beneficial owner of the following percentage of the total number of Shares outstanding: (1) Nantahala Capital Management, LLC ("Nantahala") : 8.43% (2) Wilmot B. Harkey: 8.43% (3) Daniel Mack: 8.43%
    (c)Number of shares as to which the person has:
     (i) Sole power to vote or to direct the vote:

    (1) Nantahala Capital Management, LLC ("Nantahala") : 0 Shares. (2) Wilmot B. Harkey: 0 Shares. (3) Daniel Mack: 0 Shares.

     (ii) Shared power to vote or to direct the vote:

    (1) Nantahala Capital Management, LLC ("Nantahala") : 900,000 Shares. (2) Wilmot B. Harkey: 900,000 Shares. (3) Daniel Mack: 900,000 Shares.

     (iii) Sole power to dispose or to direct the disposition of:

    (1) Nantahala Capital Management, LLC ("Nantahala") : 0 Shares. (2) Wilmot B. Harkey: 0 Shares. (3) Daniel Mack: 0 Shares.

     (iv) Shared power to dispose or to direct the disposition of:

    (1) Nantahala Capital Management, LLC ("Nantahala") : 900,000 Shares. (2) Wilmot B. Harkey: 900,000 Shares. (3) Daniel Mack: 900,000 Shares.

    Item 5.Ownership of 5 Percent or Less of a Class.
     
    Item 6.Ownership of more than 5 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 or Control Person.
     
    If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.


    Each of Messrs. Harkey and Mack is filing this Schedule 13G as a control person in respect of shares beneficially owned by Nantahala, an investment adviser as described in ss. 240.13d-1(b)(1)(ii)(E). See Item 4(a).
    Item 8.Identification and Classification of Members of the Group.
     
    Not Applicable
    Item 9.Notice of Dissolution of Group.
     
    Not Applicable

    Item 10.Certifications:
     
    By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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, other than activities solely in connection with a nomination under ?? 240.14a-11.

        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.

     
    Nantahala Capital Management, LLC
     
    Signature:/s/ Taki Vasilakis
    Name/Title:Taki Vasilakis / Chief Compliance Officer
    Date:05/15/2025
     
    Wilmot B. Harkey
     
    Signature:/s/ Wilmot B. Harkey
    Name/Title:Wilmot B. Harkey
    Date:05/15/2025
     
    Daniel Mack
     
    Signature:/s/ Daniel Mack
    Name/Title:Daniel Mack
    Date:05/15/2025
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