0001493152-20-010299.txt : 20200601
0001493152-20-010299.hdr.sgml : 20200601
20200601172901
ACCESSION NUMBER: 0001493152-20-010299
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200522
FILED AS OF DATE: 20200601
DATE AS OF CHANGE: 20200601
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nostrum Pharmaceuticals, LLC
CENTRAL INDEX KEY: 0001811885
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33635
FILM NUMBER: 20934834
BUSINESS ADDRESS:
STREET 1: 1370 HAMILTON STREET
CITY: SOMERSET
STATE: NJ
ZIP: 08873
BUSINESS PHONE: 732-543-2440
MAIL ADDRESS:
STREET 1: 1370 HAMILTON STREET
CITY: SOMERSET
STATE: NJ
ZIP: 08873
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Gene Biotherapeutics, Inc.
CENTRAL INDEX KEY: 0000772320
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 840635673
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 11750 SORRENTO VALLEY ROAD
STREET 2: SUITE 250
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: (858) 436-1000
MAIL ADDRESS:
STREET 1: 11750 SORRENTO VALLEY ROAD
STREET 2: SUITE 250
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
FORMER COMPANY:
FORMER CONFORMED NAME: Taxus Cardium Pharmaceuticals Group Inc.
DATE OF NAME CHANGE: 20140318
FORMER COMPANY:
FORMER CONFORMED NAME: Cardium Therapeutics, Inc.
DATE OF NAME CHANGE: 20060118
FORMER COMPANY:
FORMER CONFORMED NAME: Cadium Therapeutics, Inc.
DATE OF NAME CHANGE: 20060118
3
1
ownership.xml
X0206
3
2020-05-22
0
0000772320
Gene Biotherapeutics, Inc.
CRXM
0001811885
Nostrum Pharmaceuticals, LLC
1370 HAMILTON STREET
SOMERSET
NJ
08873
0
0
1
0
Series A Convertible Preferred Stock
0.0113
Common Stock, par value $.0001 per share
69911504
D
Series B Convertible Preferred Stock
0.0113
Common Stock, par value $.0001 per share
150442478
D
The Reporting Person owns 220 shares of Series A Convertible Preferred Stock and has agreed to purchase up to an additional 570 shares of Series A Convertible Preferred Stock pursuant to a securities purchase agreement entered into on May 22, 2020 with Sabby Healthcare Master Fund Ltd. Each share of Series A Convertible Preferred Stock has a stated value of $1,000, which is convertible into shares of Common Stock at any time at a conversion price of $0.0113, subject to anti-dilution protection. Conversion of the Series A Convertible Preferred Stock is subject to a beneficial ownership limitation contained in the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, which prohibits a holder from converting the Series A Convertible Preferred Stock into Common Stock at any time that the holder beneficially owns more than 9.99% of the issuer's outstanding Common Stock.
The Reporting Person owns 1,700,000 shares of Series B Convertible Preferred Stock. Each share of Series B Convertible Preferred Stock has a stated value of $1.00 per share, which is convertible into Common Stock at any time at a conversion price of $0.0113, subject to anti-dilution protection.
/s/ Nirmal Mulye, Ph.D.
2020-06-01