0000899243-20-025170.txt : 20200915
0000899243-20-025170.hdr.sgml : 20200915
20200915201315
ACCESSION NUMBER: 0000899243-20-025170
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200911
FILED AS OF DATE: 20200915
DATE AS OF CHANGE: 20200915
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kuwahara Jon
CENTRAL INDEX KEY: 0001664784
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36620
FILM NUMBER: 201177128
MAIL ADDRESS:
STREET 1: 21250 HAWTHORNE BOULEVARD
STREET 2: SUITE 800
CITY: TORRANCE
STATE: CA
ZIP: 90503
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Novus Therapeutics, Inc.
CENTRAL INDEX KEY: 0001404281
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 19900 MACARTHUR BLVD.
STREET 2: SUITE 550
CITY: IRVINE
STATE: CA
ZIP: 92612
BUSINESS PHONE: 949-238-8090
MAIL ADDRESS:
STREET 1: 19900 MACARTHUR BLVD.
STREET 2: SUITE 550
CITY: IRVINE
STATE: CA
ZIP: 92612
FORMER COMPANY:
FORMER CONFORMED NAME: Tokai Pharmaceuticals Inc
DATE OF NAME CHANGE: 20070622
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-09-11
0
0001404281
Novus Therapeutics, Inc.
NVUS
0001664784
Kuwahara Jon
C/O NOVUS THERAPEUTICS, INC.
19900 MACARTHUR BLVD., SUITE 550
IRVINE
CA
92612
0
1
0
0
See Remarks
Stock Option (Right to Buy)
500.00
2020-09-11
4
A
0
2145.264
0.00
A
2030-09-11
Series X1 Convertible Preferred Stock
2145.264
2145.264
D
This option represents a right to purchase a total of 2,145.264 shares of the Issuer's Series X1 Convertible Preferred Stock, one quarter of which will become fully vested and exercisable on September 11, 2021, with the remaining 1,608.948 shares vesting in equal monthly installments over the following three years, subject to the Reporting Person's continued service to the Issuer through each vesting date. The Reporting Person's ability to exercise the option will be subject to stockholder approval under Nasdaq Marketplace Rule 5635(c).
Each share of Series X1 Convertible Preferred Stock will be convertible into 1,000 shares of Common Stock upon receipt of the requisite approval of the stockholders of the Issuer.
Senior Vice President of Finance and Administration
/s/ Ryan A. Murr, as attorney-in-fact for Jon Kuwahara
2020-09-15