Initial Statement of Beneficial Ownership (3)
September 24 2020 - 7:45PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Perrin Steven |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/14/2020
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3. Issuer Name and Ticker or Trading Symbol
Novus Therapeutics, Inc. [NVUS]
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(Last)
(First)
(Middle)
C/O NOVUS THERAPEUTICS, INC., 19900 MACARTHUR BLVD., SUITE 550 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
See Remarks / |
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(Street)
IRVINE, CA 92612
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | (1) | 9/14/2030 | Series X1 Convertible Preferred Stock (2) | 7856.409 | $500.00 | D | |
| Stock Option (Right to Buy) | (3) | 1/28/2030 | Series X1 Convertible Preferred Stock (2) | 2078.859 | $495.00 | D | |
| Stock Option (Right to Buy) | (3) | 1/28/2030 | Common Stock | 48896 | $0.495 | D | |
| Stock Option (Right to Buy) | (3) | 1/28/2030 | Series X1 Convertible Preferred Stock (2) | 2514.285 | $495.00 | D | |
| Stock Option (Right to Buy) | (3) | 1/28/2030 | Common Stock | 56719 | $0.495 | D | |
| Stock Option (Right to Buy) | (3) | 9/7/2030 | Series X1 Convertible Preferred Stock (2) | 10672.926 | $380.80 | D | |
| Stock Option (Right to Buy) | (3) | 9/7/2030 | Common Stock | 240767 | $0.3808 | D | |
| Stock Option (Right to Buy) | (4) | 1/28/2030 | Series X1 Convertible Preferred Stock (2) | 432.257 | $495.00 | D | |
| Stock Option (Right to Buy) | (4) | 1/28/2030 | Common Stock | 9751 | $0.495 | D | |
| Stock Option (Right to Buy) | (4) | 1/28/2030 | Series X1 Convertible Preferred Stock (2) | 656.165 | $495.00 | D | |
| Stock Option (Right to Buy) | (4) | 1/28/2030 | Common Stock | 14802 | $0.495 | D | |
| Explanation of Responses: |
| (1) | This option represents a right to purchase a total of 7,856.409 shares of the Issuer's Series X1 Convertible Preferred Stock, with 1,949.260 shares vesting in equal monthly installments over a period of one year from the grant date, and with the remaining 5,907.149 shares vesting over a period of two years from the grant date, subject to the Reporting Person's continued service to the Issuer through each vesting date. |
| (2) | Each share of Series X1 Convertible Preferred Stock will be convertible into 1,000 shares of Common Stock upon receipt of the requisite approval of the stockholders of the Issuer. |
| (3) | The option vests in equal monthly installments over a period of four years from January 1, 2019, the vesting start date. |
| (4) | The option is fully vested. |
Remarks:
President and Chief Scientific Officer
Ex. 24 - Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Perrin Steven
C/O NOVUS THERAPEUTICS, INC.
19900 MACARTHUR BLVD., SUITE 550
IRVINE, CA 92612 | X |
| See Remarks |
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Signatures
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| /s/ Ryan A. Murr, as attorney-in-fact for Steven Perrin | | 9/24/2020 |
| **Signature of Reporting Person | Date |
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