LAMSTEIN JOSHUA R enters SCOPUS BIOPHARMA INC. with 1.47M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Direct Indirect Derivatives
Filed: 12/15/2020ACC: 0001104659-20-135874
DirectorOfficer· Chairman
Since Dec 2020
1.47M
Baseline shares
8% direct
116.20K
Direct ownership
1 position
3.03M
Derivative underlying
3 instruments
2
Security positions
1.35M indirect
Non-Derivative Holdings2
Common Stock, par value $0.001
DirectShares owned116.20K
Common Stock, par value $0.001
IndirectShares owned1.35M
Total
116.20K direct·1.35M indirect1.47M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock, par value $0.001 | 116.20K | Direct |
| Common Stock, par value $0.001 | 1.35M | Indirect |
| Total | 1.47M | 116.20K direct·1.35M indirect |
Derivative Holdings3
W Warrant
IndirectUnderlying security
B Unit
Underlying shares
3M
Shares owned
N/A
Exercise price
4.00
Expiration
—
Exercise window
—
Convertible Note
DirectUnderlying security
W Warrant
Underlying shares
15K
Shares owned
N/A
Exercise price
0.50
Expiration
—
Exercise window
—
W Warrant
DirectUnderlying security
B Unit
Underlying shares
14.17K
Shares owned
N/A
Exercise price
4.00
Expiration
—
Exercise window
—
Total
Underlying
3.03M
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| W Warrant Indirect | B Unit | 4.00 | — | — | 3M | N/A |
| Convertible Note Direct | W Warrant | 0.50 | — | — | 15K | N/A |
| W Warrant Direct | B Unit | 4.00 | — | — | 14.17K | N/A |
| Total | 3.03M | 0.00 | ||||