0001437749-23-031329.txt : 20231109 0001437749-23-031329.hdr.sgml : 20231109 20231109194103 ACCESSION NUMBER: 0001437749-23-031329 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231109 FILED AS OF DATE: 20231109 DATE AS OF CHANGE: 20231109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALAM JOHN J CENTRAL INDEX KEY: 0001197014 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37942 FILM NUMBER: 231394265 MAIL ADDRESS: STREET 1: 130 WAVERLY STREET CITY: CAMBRIDGE STATE: MA ZIP: 02139 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CervoMed Inc. CENTRAL INDEX KEY: 0001053691 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 300645032 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 20 PARK PLAZA STREET 2: SUITE 424 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: (617) 744-4400 MAIL ADDRESS: STREET 1: 20 PARK PLAZA STREET 2: SUITE 424 CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: Diffusion Pharmaceuticals Inc. DATE OF NAME CHANGE: 20160115 FORMER COMPANY: FORMER CONFORMED NAME: RestorGenex Corp DATE OF NAME CHANGE: 20140307 FORMER COMPANY: FORMER CONFORMED NAME: Stratus Media Group, Inc DATE OF NAME CHANGE: 20080722 4 1 rdgdoc.xml FORM 4 X0508 4 2023-11-09 0001053691 CervoMed Inc. CRVO 0001197014 ALAM JOHN J 20 PARK PLAZA, SUITE 424 BOSTON MA 02116 1 1 1 CEO & President 0 Common Stock 2023-11-09 4 G 0 12500 0 D 729539 D Common Stock 732039 I By Spouse Represents one or more bona fide gifts of the Issuer's Common Stock by the Reporting Person (such shares, the "Gift Shares") to certain friends and/or family members who are not immediate family members sharing the same household. In accordance with the terms of the lock-up agreement, dated March 30, 2023, by and between the Reporting Person and the Issuer (the "Lock-Up Agreement"), in connection with the transfer(s) of the Gift Shares, each transferee will be subject to an agreement pursuant to which the transferee agrees not to further transfer the Gift Shares prior to August 16, 2024, subject to certain exceptions, on terms substantially similar to those set forth in the Lock-Up Agreement. Following the transaction, the Reporting Person has neither investment control over nor a pecuniary interest in the Gift Shares. Consists of shares of the Issuer's common stock held by Sylvie Gregoire, Pharm.D., the Reporting Person's spouse and the Chair of the Board of the Issuer. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. /s/ William R. Elder, attorney-in-fact for the Reporting Person 2023-11-09