0001104659-20-135874.txt : 20201215 0001104659-20-135874.hdr.sgml : 20201215 20201215192356 ACCESSION NUMBER: 0001104659-20-135874 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: Lamstein Joshua R CENTRAL INDEX KEY: 0001665280 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39788 FILM NUMBER: 201390866 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 3 1 tm2038482-1_3.xml OWNERSHIP DOCUMENT X0206 3 2020-12-15 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 0 0 Chairman Common Stock, par value $0.001 116197 D Common Stock, par value $0.001 1350000 I HCFP/Capital Partners 18B-1 LLC Convertible Note 0.50 2020-04-09 2021-07-31 W Warrant 15000 D W Warrant 4.00 2021-10-01 2026-09-30 B Unit 14168 D W Warrant 4.00 2021-10-01 2026-09-30 B Unit 3000000 I HCFP/Capital Partners 18B-2 LLC Includes an aggregate of 3,000 shares held by Mr. Lamstein's minor children. Includes shares held by HCFP/Capital Partners 18B-1 LLC, of which Mr. Lamstein is a member and co-manager. Accordingly, he is deemed to have shared voting and dispositive power over the shares held by this entity. Mr. Lamstein disclaims beneficial ownership of shares held by this entity, 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. Lamstein is a member and co-manager. Accordingly, he is deemed to have shared voting and dispositive power over the securities held by HCFP/Capital Partners 18B-2 LLC. Mr. Lamstein disclaims beneficial ownership of securities held by this entity, except to the extent of his proportionate pecuniary interest therein. /s/ Joshua R. Lamstein 2020-12-15