Amended Statement of Beneficial Ownership (sc 13d/a)
03 Marzo 2021 - 10:41PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT
TO § 240.13d-1(a) AND AMENDMENTS THERETO
FILED PURSUANT TO
§ 240.13d-2(a)
(Amendment No. 3)1
MoSys,
Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
619718307
(CUSIP Number)
Milton
C, Ault III
AULT
GLOBAL Holdings, Inc.
11411
Southern Highlands Parkway, Suite 240
Las
Vegas, NV 89141
(949)
444-5464
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
February 18, 2021
(Date of Event Which Requires Filing of
This Statement)
If the filing person
has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing
this Schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box o.
Note: Schedules
filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §
240.13d-7 for other parties to whom copies are to be sent.
_______________
1 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 disclosures provided in
a prior cover page.
The information required
on 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 (“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).
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1
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NAME OF REPORTING PERSONS
Ault Global Holdings, Inc.
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) o
(b) o
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
WC
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)o
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
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7
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SOLE VOTING POWER
144,000
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8
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SHARED VOTING POWER
0
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9
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SOLE DISPOSITIVE POWER
144,000
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10
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SHARED DISPOSITIVE POWER
0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
144,000
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARESo
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.40%
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14
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TYPE OF REPORTING PERSON
CO
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The following constitutes
Amendment No. 3 (“Amendment No. 3”) to the Schedule 13D filed by the undersigned on January 16, 2021 (the “Schedule
13D”). This Amendment No. 3 amends the Schedule 13D as specifically set forth herein. As a result of an increase in
the outstanding Shares of the Issuer from 3,553,184 as of November 20, 2020 as reported in the Issuer’s Form 10-Q for the
nine months ended September 30,2020 to 6,006,484 Shares outstanding as described below, the Reporting Person ceased to beneficially
own more than 5% of the outstanding Shares.
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Item 3.
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Source and Amount of Funds or Other Consideration.
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Item 3 is hereby
amended and restated to read as follows:
The Shares purchased
by AGH as reported on the Schedule 13D were purchased with working capital in open market purchases. AGH expended an aggregate
of $583,375.95 for the purchase of the Shares.
The Shares disposed of by AGH as reported
on this Amendment No. 3 reduced AGH’s aggregate expenditures by $257,321.80. Consequently, as of the date of this Amendment
No. 3, AGH has expended an aggregate of $326,054.15 for the purchase of the Shares.
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Item 5.
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Interest in Securities of the Issuer.
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Items 5(a) –
(c) and (e) are hereby amended and restated to read as follows:
The aggregate percentage
of Shares reported owned by the Reporting Person herein is based upon 6,006,484 Shares outstanding, which is the total number
of Shares outstanding as of the completion of the offering of the Shares referred to in the Issuer’s Prospectus Supplement
(to Prospectus dated December 3, 2020, Registration No. 333-250936), filed with the Securities and Exchange Commission
on February 18, 2021.
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(a)
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As of the close of business
on March 1, 2021, the Reporting Person directly beneficially owned 144,000 Shares.
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Percentage: Approximately
2.40%
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(b)
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1. Sole power to vote or direct vote: 144,000
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 144,000
4. Shared power to dispose or direct the disposition: 0
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(c)
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The Reporting Person has not entered into any transactions in the Shares during the past sixty
days except for the open market purchases conducted by its wholly owned subsidiary Digital Power Lending, LLC set forth below.
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Digital Power Lending,
LLC
Digital Power Lending,
a wholly owned subsidiary of the Reporting Person, engaged in the following transactions in the Shares since February 26, 2021:
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Date
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Transaction
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Quantity
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Weighted
Average Price
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3-01-21
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Sale
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700
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$5.51
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3-02-21
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Purchase
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200
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$5.15
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3-02-21
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Sale
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50,495
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$5.04
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(d)
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No person other than the Reporting Person is known to have the right to receive, or the power to
direct the receipt of dividends from, or proceeds from the sale of, the Shares.
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(e)
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As of February 18, 2021, the
Reporting Persons ceased to beneficially own more than 5% of the outstanding Shares.
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SIGNATURES
After reasonable inquiry
and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true,
complete and correct.
Dated: March 3, 2021
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AULT GLOBAL HOLDINGS, INC.
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By:
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/s/ Milton C. Ault III
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Milton C. Ault III
Executive Chairman
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Grafico Azioni MoSys (NASDAQ:MOSY)
Storico
Da Gen 2025 a Feb 2025
Grafico Azioni MoSys (NASDAQ:MOSY)
Storico
Da Feb 2024 a Feb 2025
