Source: http://ir.novustherapeutics.com/node/7451/html
Timestamp: 2018-06-21 11:58:57
Document Index: 597274751

Matched Legal Cases: ['§ 240', '§ 240', '§240', '§240', '§240', '§ 240']

SEC Filing | Novus Therapeutics, Inc.
(Amendment No.)*
Novus Therapeutics, Inc.
67011N105
[_] Rule 13d-1(b)
[X] Rule 13d-1(c)
[_] Rule 13d-1(d)
CUSIP No 67011N105
1. NAME OF REPORTING PERSONS
LifeSci Venture Partners I, LP
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [_]
(b) [ ]
4. CITIZENSHIP OR PLACE OF ORGANIZATION
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
499,100
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
[_]
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
LifeSci Venture SPV VII, LLC
566,967
LifeSci Index Partners, LLC
1,066,067
Andrew I. McDonald
85,021
1,151,088
Item 1. (a). Name of Issuer:
(b). Address of Issuer's Principal Executive Offices:
19900 MacArthur Blvd., Suite 550
Item 2. (a). Name of Person Filing:
(b). Address of Principal Business Office, or if None, Residence:
c/o LifeSci Venture GP, LLC
250 West 55th Street, 16th Floor
(c). Citizenship:
LifeSci Venture Partners I, LP – Delaware limited partnership
LifeSci Venture SPV VII, LLC – New York limited liability company
LifeSci Index Partners, LLC – Delaware limited liability company
Andrew I. McDonald – United States citizen
(d). Title of Class of Securities:
(e). CUSIP Number:
Item 3. If This Statement is filed pursuant to ss.240.13d-1(b) or 240.13d-2(b), or (c), check whether the person filing is a
(a) [_] Broker or dealer registered under Section 15 of the Exchange Act (15 U.S.C. 78c).
(b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act (15 U.S.C. 78c).
(c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act (15 U.S.C. 78c).
(d) [_] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [_] An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f) [_] An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
(h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813);
(i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j) [_] Group, in accordance with s.240.13d-1(b)(1)(ii)(J).
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
499,100 shares deemed beneficially owned by LifeSci Venture Partners I, LP
566,967 shares deemed beneficially owned by LifeSci Venture SPV VII, LLC
1,066,067 shares deemed beneficially owned by LifeSci Index Partners, LLC
1,151,088 shares deemed beneficially owned by Andrew I. McDonald
5.31% deemed beneficially owned by LifeSci Venture Partners I, LP
6.03% deemed beneficially owned by LifeSci Venture SPV VII, LLC
11.33% deemed beneficially owned by LifeSci Index Partners, LLC
12.24% deemed beneficially owned by Andrew I. McDonald
(c) Number of shares as to which LifeSci Venture Partners I, LP has:
(i) Sole power to vote or to direct the vote 0 ,
(ii) Shared power to vote or to direct the vote 499,100 ,
(iii) Sole power to dispose or to direct the disposition of 0 ,
(iv) Shared power to dispose or to direct the disposition of 499,100 .
Number of shares as to which LifeSci Venture SPV VII, LLC has:
(ii) Shared power to vote or to direct the vote 566,967 ,
(iv) Shared power to dispose or to direct the disposition of 566,967 .
Number of shares as to which LifeSci Index Parners, LLC has:
(ii) Shared power to vote or to direct the vote 1,066,067 ,
(iv) Shared power to dispose or to direct the disposition of 1,066,067 .
Number of shares as to which Andrew I. McDonald has:
(i) Sole power to vote or to direct the vote 85,021 ,
(iii) Sole power to dispose or to direct the disposition of 85,021 ,
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [_].
If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.
Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
LIFESCI VENTURE PARTNERS I, LP*
By: LifeSci Venture GP, LLC, its General Partner
By: /s/ Paul Yook
Name: Paul Yook
LIFESCI VENTURE SPV VII, LLC*
LIFESCI INDEX PARTNERS, LLC*
ANDREW I. MCDONALD*
By: /s/ Andrew I. McDonald
Name: Andrew I. McDonald
* The Reporting Persons disclaim beneficial ownership in the Shares reported herein except to the extent of their pecuniary interest therein.
The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See s.240.13d-7 for other parties for whom copies are to be sent.
Attention. Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001).
The undersigned agree that this Schedule 13G dated March 13, 2018 relating to the Common Stock, par value $0.001 per share of Novus Therapeutics, Inc., shall be filed on behalf of the undersigned.
Title: Mnaging Member