SC 13G/A
1
sc13ga307422nvus_12302020.htm
AMENDMENT NO. 3 TO THE SCHEDULE 13G
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c),
AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 3)1
Novus Therapeutics, Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
67011N204
(CUSIP Number)
December 28, 2020
(Date of Event Which Requires Filing of this
Statement)
Check the appropriate box
to designate the rule pursuant to which this Schedule is filed:
☐
Rule 13d-1(b)
☒
Rule 13d-1(c)
☐
Rule 13d-1(d)
1
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to
the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided
in a prior cover page.
The information required
on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
CUSIP No. 67011N204
1
NAME OF REPORTING PERSON
Biotechnology Value Fund, L.P.
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☒
(b) ☐
3
SEC USE ONLY
4
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
5
SOLE VOTING POWER
SHARES
BENEFICIALLY
0 shares
OWNED BY
6
SHARED VOTING POWER
EACH
REPORTING
775,300*
PERSON WITH
7
SOLE DISPOSITIVE POWER
0 shares
8
SHARED DISPOSITIVE POWER
775,300*
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
775,300*
10
CHECK BOX IF THE
AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
☐
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.1%*
12
TYPE OF REPORTING PERSON
PN
* Excludes 2,896,944 Shares underlying certain
Series X1 Preferred (defined in Item 4) that may not be exercised due to the Series X1 Blocker (defined in
Item 4).
Excludes 79,500 Shares underlying certain Private
Placement Warrants (defined in Item 4) that may not be exercised due to the Private Placement Blocker (defined in Item 4).
Excludes 1,453,117 Shares underlying certain
Series X1 Preferred Warrants (defined in Item 4) that may not be exercised due to the Series X1 Preferred
Warrant Blocker (defined in Item 4).
2
CUSIP No. 67011N204
1
NAME OF REPORTING PERSON
BVF I GP LLC
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ☒
(b) ☐
3
SEC USE ONLY
4
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
5
SOLE VOTING POWER
SHARES
BENEFICIALLY
0 shares
OWNED BY
6
SHARED VOTING POWER
EACH
REPORTING
775,300*
PERSON WITH
7
SOLE DISPOSITIVE POWER
0 shares
8
SHARED DISPOSITIVE POWER
775,300*
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
775,300*
10
CHECK BOX IF THE
AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
☐
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.1%*
12
TYPE OF REPORTING PERSON
OO
* Excludes 2,896,944 Shares underlying certain
Series X1 Preferred that may not be exercised due to the Series X1 Blocker.
Excludes 79,500 Shares underlying certain Private
Placement Warrants that may not be exercised due to the Private Placement Blocker.
Excludes 1,453,117 Shares underlying certain
Series X1 Preferred Warrants that may not be exercised due to the Series X1 Preferred Warrant Blocker.
IRVINE, Calif.--(BUSINESS WIRE)--Novus Therapeutics, Inc. (“Novus”) (NASDAQ: NVUS), a clinical stage biopharmaceutical company focused on developing life-changing, targeted medicines for patients undergoing organ or cellular transplantation, as well as those living with immunological diseases, today announced the appointment of June Lee, M.D., to the company’s Board of Directors.
“We are delighted to welcome June to our board of directors as Novus continues on this next phase of its evolution,” said David-Alexandre C. Gros, M.D., Chief Executive Officer of Novus Therapeutics, Inc. “Over a twenty plus year career as a clinician, academic, executive, and respected leader in the biote
Eledon to commence trading on the Nasdaq exchange under the ticker “ELDN” effective tomorrow, January 5, 2021 Eledon is well financed to complete up to four Phase 2 clinical trials of lead candidate AT-1501, a potential best in class anti-CD40L monoclonal antibody IRVINE, Calif., Jan. 04, 2021 (GLOBE NEWSWIRE) -- Novus Therapeutics, Inc. (“Novus”) (NASDAQ: NVUS), a clinical stage biopharmaceutical company focused on developing life-changing, targeted medicines for persons living with an autoimmune disease, requiring an organ or cell-based transplant, or living with amyotrophic lateral sclerosis (ALS), today provided a corporate update and offered its outlook for 2021 and beyond. 2020 a
Eledon to commence trading on the Nasdaq exchange under the ticker “ELDN” effective tomorrow, January 5, 2021 Eledon is well financed to complete up to four Phase 2 clinical trials of lead candidate AT-1501, a potential best in class anti-CD40L monoclonal antibody IRVINE, Calif., Jan. 04, 2021 (GLOBE NEWSWIRE) -- Novus Therapeutics, Inc. (“Novus”) (NASDAQ: NVUS), a clinical stage biopharmaceutical company focused on developing life-changing, targeted medicines for persons living with an autoimmune disease, requiring an organ or cell-based transplant, or living with amyotrophic lateral sclerosis (ALS), today provided a corporate update and offered its outlook for 2021 and beyond. 2020 a
IRVINE, Calif., Dec. 22, 2020 (GLOBE NEWSWIRE) -- Novus Therapeutics, Inc. (“Novus”) (NASDAQ: NVUS), a clinical stage biopharmaceutical company focused on developing life-changing, targeted medicines for patients undergoing organ or cellular transplantation, as well as those living with immunological diseases, today announced results from a special meeting of stockholders that was held on Friday, December 19, 2020. During the meeting, Novus’ stockholders approved a proposal for the issuance of common shares upon conversion of Series X¹ non-voting convertible preferred stock issued at the time of the company’s acquisition of Anelixis Therapeutics, Inc., and concurrent private placement (PI
IRVINE, Calif.--(BUSINESS WIRE)--Novus Therapeutics, Inc. (“Novus”) (NASDAQ: NVUS), a clinical stage biopharmaceutical company focused on developing life-changing, targeted medicines for patients undergoing organ or cellular transplantation, as well as those living with immunological diseases, today announced the appointment of June Lee, M.D., to the company’s Board of Directors.
“We are delighted to welcome June to our board of directors as Novus continues on this next phase of its evolution,” said David-Alexandre C. Gros, M.D., Chief Executive Officer of Novus Therapeutics, Inc. “Over a twenty plus year career as a clinician, academic, executive, and respected leader in the biote
