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