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Item 1(a).

Name of Issuer:

 

 

Item 1(b).

Address of Issuer's Principal Executive Offices:

 

Item 2(a).

Name of Person Filing:

 

Item 2(b).

Address of Principal Business Office or, if none, Residence:

 

Item 2(c).

Citizenship:

 United States

Item 2(d).

Title of Class of Securities:

Item 2(e).

CUSIP Number:

 

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Item 3.

If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or

240.13d-2(b) or (c), Check Whether the Person Filing Is a(n):

Not applicable

(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 Section 240.13d-1(b)(1)(ii)(E);

(f)

☐ Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

(g)

☐ Parent holding company or control person in accordance with Section 240.13d-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);

(i)

☐ 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)

☐ A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);

(k)

☐ Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________ .

 

Item 4.

Ownership.

The shares owned by the reporting person include (i) 2,270,861 shares of common stock issued upon the conversion of Series C preferred stock beneficially owned by Mr. Walton, (ii) 628,072 shares of common stock issued upon the conversion of Series D preferred stock beneficially owned by Mr. Walton, and (iii) 588,235 shares of common stock beneficially owned by Mr. Walton that were purchased in the initial public offering.  The shares are held of record by SymBiosis, LLC, over which Mr. Walton exercises sole investment power.

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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 ☐.

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

 

Item 8.

Identification and Classification of Members of the Group. Not applicable

 

Item 9.

Notice of Dissolution of Group. Not applicable

 

 

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