Amended Statement of Beneficial Ownership (3/a)
11 Agosto 2022 - 10:39PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Azfar Malik |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/26/2022
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3. Issuer Name and Ticker or Trading Symbol
UpHealth, Inc. [UPH]
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(Last)
(First)
(Middle)
17025 ORRVILLE ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
CHESTERFIELD, MO 63005
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 6/15/2022
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $0.0001 par value (1) | 193541 | I | By Azfar M. Malik, M.D., through sister-in-law (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This Form 3 (this "Amended Form 3") is filed to amend the Form 3 that was originally filed with the Securities and Exchange Commission (the "SEC") on June 15, 2022 (the "Original Form 3") by Azfar M. Malik, M.D. ("Dr. Malik") and AM Physicians LLC. The purpose of this Amended Form 3 is to report additional shares of the Issuer's common stock ("Shares") that may be attributed to Dr. Malik but that were omitted from the Original Form 3. |
(2) | Represents Shares that may be deemed to be held indirectly by Dr. Malik through his sister-in-law, a member of Dr. Malik's household. Dr. Malik has no voting or dispositive power over these Shares and therefore disclaims any beneficial ownership of them. This report shall not be deemed an admission that Dr. Malik is the beneficial owner of these Shares for purposes of Section 16 or any other purpose. |
Remarks: Exhibit List - Exhibit 24.1: Power of Attorney (Azfar M. Malik, M.D.); Exhibit 24.2: Power of Attorney (AM Physicians LLC); Exhibit 99.1: Joint Filing Agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Azfar Malik 17025 ORRVILLE ROAD CHESTERFIELD, MO 63005 |
| X |
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AM Physicians LLC 17025 ORRVILLE ROAD CHESTERFIELD, MO 63005 |
| X |
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Signatures
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/s/ Robin K. Lehninger, as attorney-in-fact for Azfar M. Malik, M.D. | | 8/11/2022 |
**Signature of Reporting Person | Date |
/s/ Robin K. Lehninger, as attorney-in-fact for AM Physicians LLC | | 8/11/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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