FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Novus Therapeutics, Inc. [ NVUS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/30/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/30/2020 | P | 5,000 | A | $24.0325 | 150,000 | I | See Notes 1 and 2(1)(2) | ||
Common Stock | 10/30/2020 | P | 31,000 | A | $24.5299 | 181,000 | I | See Notes 1 and 2(1)(2) | ||
Common Stock | 10/30/2020 | P | 4,000 | A | $25.973 | 185,000 | I | See Notes 1 and 2(1)(2) | ||
Common Stock | 10/30/2020 | P | 15,000 | A | $26.4824 | 200,000 | I | See Notes 1 and 2(1)(2) | ||
Common Stock | 10/30/2020 | S | 12,942 | D | $26.6442 | 187,058 | I | See Notes 1 and 2(1)(2) | ||
Common Stock | 10/30/2020 | P | 12,942 | A | $25.879 | 200,000 | I | See Notes 1 and 2(1)(2) | ||
Common Stock | 10/30/2020 | S | 27 | D | $27.02 | 199,973 | I | See Notes 1 and 2(1)(2) | ||
Common Stock | 10/30/2020 | P | 15,000 | A | $26.174 | 214,973 | I | See Notes 1 and 2(1)(2) | ||
Common Stock | 10/30/2020 | P | 9,098 | A | $25.5507 | 224,071 | I | See Notes 1 and 2(1)(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934. |
2. The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
Arsani William, Manager of the General Partner of Logos Global Management LP | 11/06/2020 | |
** 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 4 (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. |