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