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