SCHEDULE 13G: Anson Funds Discloses 9.9% Passive Stake in Universe Pharmaceuticals
Beneficial Ownership Disclosure
Anson Funds Management LP and its affiliates have reported a 9.9% beneficial ownership stake in Universe Pharmaceuticals, Inc., held for ordinary course of business purposes.
Summary
- Anson Funds Management LP, Anson Management GP LLC, Mr. Tony Moore, Anson Advisors Inc., Mr. Amin Nathoo, and Mr. Moez Kassam collectively reported beneficial ownership of 782,327 Ordinary Shares of Universe Pharmaceuticals, Inc.
- This ownership represents 9.9% of the outstanding Ordinary Shares of Universe Pharmaceuticals, Inc.
- The calculation of the 9.9% stake is based on 7,279,184 shares issued and outstanding as of February 4, 2025, plus 551,920 shares receivable upon exercise of warrants.
- The reported beneficial ownership takes into account limitations on warrant exercise, which prevent ownership from exceeding 4.99% or 9.99% for different warrant types.
- The filing is a Schedule 13G, indicating that the shares were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the issuer.
Sentiment
Score: 5
Explanation: The document is a factual regulatory filing (Schedule 13G) disclosing passive ownership. It contains no positive or negative operational news, financial performance, or strategic updates, thus maintaining a neutral sentiment.
Future Outlook
The document does not contain any forward-looking statements or guidance regarding the issuer's future performance or the reporting persons' future investment intentions beyond the passive nature of the current holding.
Industry Context
This filing is a standard disclosure of significant passive ownership by an investment firm in a publicly traded pharmaceutical company. It reflects a portfolio allocation decision by Anson Funds rather than a strategic industry move or competitive action.
Stakeholder Impact
- Shareholders: The disclosure of a significant passive stake by Anson Funds could be viewed as a vote of confidence by an institutional investor, potentially influencing market perception of the stock. However, as a passive stake, it does not signal intent to influence management or corporate strategy.
Key Dates
| Date | Description |
|---|---|
| 12/31/2024 | Date of event which requires the filing of this statement (snapshot date for ownership). |
| 02/04/2025 | Date the Issuer confirmed 7,279,184 Ordinary Shares were issued and outstanding. |
| 02/14/2025 | Date of filing and signing of the Schedule 13G. |
Keywords
Universe Pharmaceuticals, Anson Funds Management LP, Anson Management GP LLC, Anson Advisors Inc., Tony Moore, Amin Nathoo, Moez Kassam, Schedule 13G, Beneficial Ownership, SEC Filing, Ordinary Shares, Investment Management, Passive Investment
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