Item 3.02 Unregistered Sales of
On
In addition, on
The Series X Preferred Stock and the Warrants were issued without registration under the Securities Act of 1933, as amended (the "Securities Act"), in reliance on the exemption from registration contained in Section 3(a)(9) of the Securities Act.
Following the Exchanges, the Company has 14,306,614 shares of Common Stock outstanding and 6,203.98 shares of Series X Preferred Stock outstanding, which are convertible into 344,663 shares of Common Stock (after rounding for fractional shares).
The foregoing description of the Exchange Agreements are not complete and is qualified in its entirety by references to the full text of the Exchange Agreements, which are filed as an exhibit to this Report and is incorporated by reference herein.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits: 10.1 Series X Exchange Agreement, datedDecember 31, 2020 , by and amongNovus Therapeutics, Inc. and the Stockholders named therein 10.2 Warrant Exchange Agreement, datedDecember 31, 2020 , by and amongNovus Therapeutics, Inc. and the Stockholders named therein 104 Cover Page Interactive Data File (embedded within the Inline XBRL document)
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