SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Nantahala Capital Management, LLC

(Last) (First) (Middle)
130 MAIN ST. 2ND FLOOR

(Street)
NEW CANAAN CT 06840

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/06/2024
3. Issuer Name and Ticker or Trading Symbol
Evoke Pharma Inc [ EVOK ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director checkbox checked 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
checkbox checked Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 148,194 I See footnote(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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
Pre-Funded Warrants 02/13/2024 02/13/2029 Common Stock 433,962 0.0001 I See footnote(1)
Series A Common Stock Purchase Warrants 02/13/2024 02/13/2029 Common Stock 117,019 8.16 I See footnote(1)
Series B Common Stock Purchase Warrants 02/13/2024 11/13/2029 Common Stock 245,080 8.16 I See footnote(1)
Series C Common Stock Purchase Warrants 02/13/2029 02/13/2029 Common Stock 117,019 8.16 I See footnote(1)
Amended Series A Common Stock Purchase Warrants 09/27/2024 02/13/2029 Common Stock 158,682 0.01 I See footnote(1)
Amended Series C Common Stock Purchase Warrants 09/27/2024 02/13/2029 Common Stock 250,627 0.01 I See footnote(1)
1. Name and Address of Reporting Person*
Nantahala Capital Management, LLC

(Last) (First) (Middle)
130 MAIN ST. 2ND FLOOR

(Street)
NEW CANAAN CT 06840

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Harkey Wilmot B.

(Last) (First) (Middle)
C/O NANTAHALA CAPITAL MANAGEMENT, LLC
130 MAIN ST. 2ND FLOOR

(Street)
NEW CANAAN CT 06840

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Mack Daniel

(Last) (First) (Middle)
C/O NANTAHALA CAPITAL MANAGEMENT, LLC
130 MAIN ST. 2ND FLOOR

(Street)
NEW CANAAN CT 06840

(City) (State) (Zip)
Explanation of Responses:
1. Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, may be deemed a beneficial owner of such securities. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein.
/s/ Taki Vasilakis, Chief Compliance Officer, Nantahala Capital Management, LLC 11/15/2024
/s/ Wilmot B. Harkey 11/15/2024
/s/ Daniel Mack 11/15/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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