SEC Form 3: New insider Hopper Paul claimed ownership of 706,333 shares
$SCPS
Biotechnology: Pharmaceutical Preparations
Health Care
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/15/2020 |
3. Issuer Name and Ticker or Trading Symbol
Scopus BioPharma Inc. [ SCPS ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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) |
| Common Stock | $700,000(1) | I | By Moreglade Pty. Limited |
| Common Stock | $6,333(2) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
| W Warrant | 10/01/2021 | 09/30/2026 | B Unit | $503,636(1) | (3) | I | By Moreglade Pty. Limited |
| W Warrant | 10/01/2021 | 09/30/2026 | B Unit | $4,557(4) | (3) | D | |
| Explanation of Responses: |
| 1. Mr. Hopper is a director of Moreglade Pty. Limited and therefore is deemed to have shared voting and dispositive power over the shares of Common Stock and W Warrants held by this entity. Mr. Hopper disclaims beneficial ownership of the shares of Common Stock and W Warrants held by this entity, as he has no pecuniary interest therein. |
| 2. Excludes 6,333 shares owned by Mr. Hopper's spouse and an aggregate of 50,668 shares owned by Mr. Hopper's adult children, as to which shares he disclaims beneficial ownership. |
| 3. 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. |
| 4. Excludes 4,557 W Warrants owned by Mr. Hopper's spouse and an aggregate of 36,452 W Warrants owned by Mr. Hopper's adult children, as to which warrants he disclaims beneficial ownership. |
| /s/ Paul Hopper | 11/17/2021 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||