0001104659-20-135875.txt : 20201215 0001104659-20-135875.hdr.sgml : 20201215 20201215192429 ACCESSION NUMBER: 0001104659-20-135875 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201215 FILED AS OF DATE: 20201215 DATE AS OF CHANGE: 20201215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Greenspan Ira Scott CENTRAL INDEX KEY: 0001449211 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39788 FILM NUMBER: 201390867 MAIL ADDRESS: STREET 1: 888 SEVENTH AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 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 3 1 tm2038482-2_3.xml OWNERSHIP DOCUMENT X0206 3 2020-12-15 0 0001772028 Scopus BioPharma Inc. SCPS 0001449211 Greenspan Ira Scott C/O SCOPUS BIOPHARMA INC. 420 LEXINGTON AVENUE, SUITE 300 NEW YORK NY 10170 1 0 0 0 Common Stock, par value $0.001 80000 D Common Stock, par value $0.001 1350000 I HCFP/Capital Partners 18B-1 LLC Common Stock, par value $0.001 73334 I HCP/Advest LLC W Warrant 4.00 2021-10-01 2026-09-30 B Unit 66668 I HCP/Advest LLC W Warrant 4.00 2021-10-01 2026-09-30 B Unit 3000000 I HCFP/Capital Partners 18B-2 LLC Includes shares held by HCFP/Capital Partners 18B-1 LLC, of which Mr. Greenspan is a member and co-manager, and HCP/Advest LLC, of which Mr. Greenspan is a member and sole manager. Accordingly, he is deemed to have shared voting and dispositive power and sole voting and dispositive power over the shares held by HCFP/Capital Partners 18B-1 LLC and HCP/Advest LLC, respectively. Mr. Greenspan disclaims beneficial ownership of shares held by these entities, except to the extent of his proportionate pecuniary interest therein. 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 securities held by HCFP/Capital Partners 18B-2 LLC, of which Mr. Greenspan is a member and co-manager, and HCP/Advest LLC, of which Mr. Greenspan is a member and sole manager. Accordingly, he is deemed to have shared voting and dispositive power and sole voting and dispositive power over the securities held by HCFP/Capital Partners 18B-2 LLC and HCP/Advest LLC, respectively. Mr. Greenspan disclaims beneficial ownership of securities held by these entities, except to the extent of his proportionate pecuniary interest therein. /s/ Ira Scott Greenspan 2020-12-15