Walter C Ogier Form 3 Novus Therapeutics / Walter C Ogier ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person^*

Ogier Walter C

(Last) (First) (Middle)

C/O NOVUS THERAPEUTICS, INC.

19900 MACARTHUR BLVD., SUITE 550

(Street)

IRVINE CA 92612

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/14/2020

3. Issuer Name and Ticker or Trading Symbol
Novus Therapeutics, Inc. [ NVUS ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	(1)	08/31/2027	Common Stock	10,415	0.6855	D
Stock Option (Right to Buy)	(1)	08/31/2027	Series X1 Convertible Preferred Stock(2)	461.664	685.5	D
Stock Option (Right to Buy)	(1)	01/28/2030	Common Stock	19,190	0.495	D
Stock Option (Right to Buy)	(1)	01/28/2030	Series X1 Convertible Preferred Stock(2)	850.662	495	D
Stock Option (Right to Buy)	(1)	09/07/2030	Common Stock	68,791	0.3808	D
Stock Option (Right to Buy)	(1)	09/07/2030	Series X1 Convertible Preferred Stock(2)	3,049.408	380.8	D

Explanation of Responses:

1. The option is fully vested.

2. Each share of Series X1 Convertible Preferred Stock will be convertible into 1,000 shares of Common Stock upon receipt of the requisite approval of the stockholders of the Issuer.

Remarks:

Ex. 24 - Power of Attorney

	/s/ Ryan A. Murr, as attorney-in-fact for Walter Ogier	09/24/2020
	** 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 5 (b)(v).
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