SCHEDULE 13G/A: Lind Global Fund II Discloses 9.9% Passive Stake in ABVC BioPharma, Inc.

Lind Global Fund II LP, along with its general partner Lind Global Partners II LLC and managing member Jeff Easton, has disclosed a passive beneficial ownership of 9.9% in ABVC BioPharma, Inc., totaling 1,325,000 shares.

Summary

• Lind Global Fund II LP, Lind Global Partners II LLC, and Jeff Easton (collectively, the "Reporting Persons") have filed an Amendment No. 3 to Schedule 13G regarding their beneficial ownership in ABVC BioPharma, Inc.
• As of December 31, 2024, the Reporting Persons collectively beneficially own 1,325,000 shares of ABVC BioPharma, Inc. common stock.
• This aggregate amount represents 9.9% of the company's outstanding common stock.
• The ownership consists of 94,994 shares of common stock, 29,167 A Warrants, 1,000,000 B Warrants, and shares issuable from Convertible Securities.
• The Warrants and Convertible Securities include a provision limiting the holder's ability to exercise or convert if it would result in beneficial ownership greater than 9.99% of the Company.
• The filing indicates a passive investment purpose, with no intent to change or influence control of the issuer.

Sentiment

Score: 5

Explanation: The document is a factual disclosure of beneficial ownership, which is neutral in sentiment. It indicates a significant passive investment but provides no performance or operational updates.

Positives

• A significant institutional investor, Lind Global Fund II, maintains a substantial passive stake, potentially signaling confidence in ABVC BioPharma, Inc.

Negatives

• The beneficial ownership is capped at 9.99% due to exercise and conversion limitations on warrants and convertible securities, which restricts the investor's ability to increase their stake beyond this threshold without triggering additional regulatory requirements or potentially influencing control.

Risks

• The beneficial ownership is limited to 1,325,000 shares in aggregate, representing 9.9% of the class, due to exercise limitations on Warrants and conversion limitations on Convertible Securities, which prevent ownership from exceeding 9.99% of the Company.

Future Outlook

This Schedule 13G filing is a disclosure of current beneficial ownership and does not contain forward-looking statements or guidance from ABVC BioPharma, Inc. or the reporting persons regarding the company's future performance.

Industry Context

This filing is a standard disclosure of a significant passive investment in a publicly traded biopharma company. It does not provide specific insights into broader industry trends or competitive landscape beyond the fact of the investment itself.

Stakeholder Impact

• Shareholders: Provides transparency regarding a significant passive investor's stake, which can influence market perception and liquidity. The 9.9% ownership limit may also be relevant for future capital structure considerations.

Key Dates

Keywords

ABVC BioPharma, Lind Global Fund II, Schedule 13G, Beneficial Ownership, Common Stock, Warrants, Convertible Securities, Passive Investment, SEC Filing, Biopharma