CBMX Combimatrix Corp. (MM)

☐   Rule 13d-1(b)

☒   Rule 13d-1(c)

☐   Rule 13d-1(d)

CUSIP No. 20009T501

13G

Page 2 of 6 Pages

1	NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
	MMCAP International Inc. SPC
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)   ☑ (b)     ☐
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION
	Cayman Islands
		5	SOLE VOTING POWER
NUMBER OF			0
SHARES		6	SHARED VOTING POWER
BENEFICIALLY			161,469 common shares
OWNED BY		7	SOLE DISPOSITIVE POWER
EACH			0
REPORTING		8	SHARED DISPOSITIVE POWER
PERSON WITH			161,469 common shares
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	161,469 common shares
10	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ☐
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
	5.5322%
12	TYPE OF REPORTING PERSON*
	CO

*SEE INSTRUCTIONS BEFORE FILLING OUT!

CUSIP No. 20009T501

13G

Page 3 of 6 Pages

 

1	NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
	MM Asset Management Inc.
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)   ☑ (b)     ☐
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION
	Ontario, Canada
		5	SOLE VOTING POWER
NUMBER OF			0
SHARES		6	SHARED VOTING POWER
BENEFICIALLY			161,469 common shares
OWNED BY		7	SOLE DISPOSITIVE POWER
EACH			0
REPORTING		8	SHARED DISPOSITIVE POWER
PERSON WITH			161,469 common shares
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	161,469 common shares
10	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*   ☐
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
	5.5322%
12	TYPE OF REPORTING PERSON*
	CO

*SEE INSTRUCTIONS BEFORE FILLING OUT!

CUSIP No. 20009T501

13G

Page 4 of 6 Pages

 

Item 1 (a).   Name of Issuer:

CombiMatrix Corporation

Item 1 (b).   Address of Issuer’s Principal Executive Offices:

310 Goddard, Suite 150

Irvine, CA 92618

 

Item 2 (a).   Name of Person Filing:

i)    MMCAP International Inc. SPC

 

ii)   MM Asset Management Inc.
 

Item 2 (b).   Address of Principal Business Office or, if None, Residence:

i)   P. O. Box 259
     George Town Financial Centre

     90 Fort Street
     Grand Cayman, Cayman Islands KY1-1104

ii)  66 Wellington Street West, Suite 2707
     Toronto, Ontario M5K 1H6 Canada

Item 2 (c).   Citizenship:

i)   Cayman Islands

ii)   Ontario, Canada

Item 2 (d).   Title of Class of Securities:

Common Stock

Item 2 (e).   CUSIP Number:

20009T501

Item 3.

If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

(a)

☐

Broker or dealer registered under Section 15 of the Act;

(b)

☐

Bank as defined in Section 3(a)(6) of the Act;

(c)

☐

Insurance Company as defined in Section 3(a)(19) of the Act;

(d)

☐

Investment Company registered under Section 8 of the Investment Company Act;

(e)

☐

Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

(f)

☐

Employee benefit plan or endowment plan in accordance with Rule 13d-1(b)(1)(ii)(F);

(g)

☐

Parent holding company or control person, in accordance with Rule 13d-1(b)(1)(ii)(G);

(h)

☐

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

	(i)	☐	A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940:
	(j)	☐	Group, in accordance with Rule 13d-1(b)(1)(ii)(j).

☑

If this statement is filed pursuant to Rule 13d-1(c), check this box.

CUSIP No. 20009T501

13G

Page 5 of 6 Pages

 

Item 4.

Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities identified in Item 1.

(a)

Amount beneficially owned:  161,469 common shares

(b)

Percent of class:  5.5322%

(c)

Number of shares as to which such person has:

(i)     Sole power to vote or to direct the vote:  0

 

(ii)    Shared power to vote or to direct the vote:  161,469 common shares

 

(iii)   Sole power to dispose or to direct the disposition of:  0

 

(iv)   Shared power to dispose or to direct the disposition of:  161,469 common shares

Instruction.   For computations regarding securities which represent a right to acquire an underlying security, see Rule 13d-3(d)(1).

Item 5.

Ownership of Five Percent or Less of a Class.

If the statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  [ ].

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

N/A

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.

N/A

Item 8.

Identification and Classification of Members of the Group.

N/A

Item 9.

Notice of Dissolution of Group.

N/A

CUSIP No. 20009T501

13G

Page 6 of 6 Pages

 

Item 10.        Certification.  By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

	August 22, 2017
	(Date)
	MMCAP International Inc. SPC
	By:  /s/ Matthew MacIsaac                 Matthew MacIsaac, Director
	August 22, 2017
	(Date)
	MM Asset Management Inc.
	By:  /s/ Matthew MacIsaac                 Matthew MacIsaac, Secretary