0001104659-21-099626.txt : 20210803
0001104659-21-099626.hdr.sgml : 20210803
20210803184913
ACCESSION NUMBER: 0001104659-21-099626
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210731
FILED AS OF DATE: 20210803
DATE AS OF CHANGE: 20210803
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lamstein Joshua R
CENTRAL INDEX KEY: 0001665280
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39788
FILM NUMBER: 211141596
MAIL ADDRESS:
STREET 1: 420 LEXINGTON AVENUE
STREET 2: SUITE 300
CITY: NEW YORK
STATE: NY
ZIP: 10170
FORMER NAME:
FORMER CONFORMED NAME: Lamstein Joshua R Aklog
DATE OF NAME CHANGE: 20160128
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Scopus BioPharma Inc.
CENTRAL INDEX KEY: 0001772028
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 821248020
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 420 LEXINGTON AVENUE, SUITE 300
CITY: NEW YORK
STATE: NY
ZIP: 10170
BUSINESS PHONE: (212) 479-2513
MAIL ADDRESS:
STREET 1: 420 LEXINGTON AVENUE, SUITE 300
CITY: NEW YORK
STATE: NY
ZIP: 10170
FORMER COMPANY:
FORMER CONFORMED NAME: Scopus Biopharma Inc.
DATE OF NAME CHANGE: 20190327
4
1
tm2123824d2_4.xml
OWNERSHIP DOCUMENT
X0306
4
2021-07-31
0
0001772028
Scopus BioPharma Inc.
SCPS
0001665280
Lamstein Joshua R
C/O SCOPUS BIOPHARMA INC.
420 LEXINGTON AVENUE, SUITE 300
NEW YORK
NY
10170
1
1
1
0
Chairman
Convertible Notes
0.50
2021-07-31
4
J
0
981
A
2020-04-09
2021-07-31
W Warrant
1963
8481
D
Convertible Notes
0.50
2021-07-31
4
C
0
8481
D
2020-04-09
2021-07-31
W Warrant
16963
0
D
W Warrants
4.00
2021-07-31
4
J
0
16963
A
2021-10-01
2026-09-30
B Unit
16963
31131
D
W Warrants
4.00
2021-07-31
4
J
0
1068016
A
2021-10-01
2026-09-30
B Unit
1068016
1068016
I
SCPS/Strategic Capital Partners LLC
Represents accrued interest on the Convertible Notes through and including July 31, 2021 (the "Maturity Date").
Represents the total outstanding principal amount and accrued interest on the Convertible Notes through and including the Maturity Date that were converted into W Warrants on such date. No additional consideration was required in connection with such conversion.
Represents the W Warrants issued upon conversion of the total outstanding principal amount and accrued interest on the Convertible Notes through and including the Maturity Date. No additional consideration was required in connection with such conversion.
Each W Warrant is exercisable for one B Unit. Starting on April 1, 2022, each B Unit can be separated into one share of common stock and one Z Warrant. Each Z Warrant is exercisable for one share of common stock with an exercise price of $5.00 per share. The Z Warrant will become exercisable on July 1, 2022 and will expire on June 30, 2027.
Includes 14,168 W Warrants that were previously reported on the reporting person's Form 3 filed with the SEC on December 15, 2020.
Represents W Warrants held by SCPS/Strategic Capital Partners LLC, of which Mr. Lamstein is a co-manager. Accordingly, he is deemed to have shared voting and dispositive power over the securities held by such entity. Mr. Lamstein disclaims beneficial ownership of such securities, except to the extent of his proportionate pecuniary interest therein.
/s/ Joshua R. Lamstein
2021-08-03