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