10-Q/A 1 tm213818d3_10qa.htm FORM 10-Q/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

 

FORM 10-Q/A

(Amendment No. 1)

 

 

 

xQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the quarterly period ended: September 30, 2020

 

¨TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

Commission File Number: 001-39788

 

SCOPUS BIOPHARMA INC

(Exact name of registrant as specified in its charter)

 

Delaware 82-1248020

(State or other jurisdiction of

incorporation or organization)

(I.R.S. Employer

Identification No.)

 

420 Lexington Avenue, Suite 300

New York, New York, 10170

(Address of principal executive offices)

 

212-479-2513
(Registrant’s telephone number, including area code)

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class   Trading Symbol(s)   Name of each exchange on which registered
Common Stock, Par value $0.001 per share   SCPS   The Nasdaq Stock Market LLC (Nasdaq Global Market)

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by section 13 or 15(d) of the Securities Exchange Act of 1934 during the past 12 months, and (2) has been subject to such filing requirements for the past 90 days.  Yes ¨  No x

 

Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes x No ¨

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company.  See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer ¨ Accelerated filer ¨
Non-accelerated filer x Smaller reporting company x
    Emerging growth company x

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ¨

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes ¨   No x

 

As of January 25, 2021, there were 14,577,597 shares outstanding of the registrant’s common stock.

 

 

 
 

 

Explanatory Note

 

The sole purpose of this Amendment No. 1 to Scopus BioPharma Inc.’s Quarterly Report on Form 10-Q for the period ended September 30, 2020, filed with the Securities and Exchange Commission on January 28, 2021 (“Form 10-Q”), is to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Exhibit 101 to this Report provides the consolidated and combined financial statements and related notes from the Form 10-Q formatted in eXtensible Business Reporting Language (“XBRL”), in accordance with the 30-day grace period provided under Regulation S-T for the first quarterly period in which XBRL is required.

 

The contents of the Form 10-Q have not otherwise been modified or changed. This Amendment No. 1 to Form 10-Q speaks as of the original filing date of the Form 10-Q and has not been updated to reflect events occurring subsequent to the original filing date.

 

 
 

 

ITEM 6. EXHIBITS

 

          Incorporated by    
Exhibit         Reference   Filed or Furnished
Number     Exhibit Description   Form   Exhibit   Filing Date   Herewith
                       
3.1     Amended and Restated Certificate of Incorporation of the Registrant   10-Q   3.1   1/28/2021    
                       
3.2     Amended and Restated By-laws of the Registrant   10-Q   3.2   1/28/2021    
                     
10.1     2018 Equity Incentive Plan   10-Q   10.1   1/28/2021    
                       
31.1*     Certification of Principal Executive Officer, pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002               X
                       
31.2*     Certification of Principal Financial Officer, pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002               X
                       
32.1**     Certification of Principal Executive Officer, pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002               X
                       
32.2**     Certification of Principal Financial Officer, pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002               X
                       
101.INS*     XBRL Instance Document               X
                       
101.SCH*     XBRL Taxonomy Extension Schema Document               X
                       
101.CAL*     XBRL Taxonomy Extension Calculation Linkbase Document               X
                       
101.DEF*     XBRL Taxonomy Extension Definition Linkbase Document               X
                       
101. LAB*     XBRL Taxonomy Extension Label Linkbase Document               X
                       
101.PRE*     XBRL Taxonomy Extension Presentation Linkbase Docume               X
                       

 

*Filed herewith.
**Furnished herewith.

 

 
 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  SCOPUS BIOPHARMA INC.
       
       
Date: February 26, 2021 By:  /s/ Joshua R. Lamstein  
    Name: Joshua R. Lamstein  
    Title:  

Chairman and Director

(Principal Executive Officer)

         

 

       
Date: February 26, 2021 By:  /s/ Robert J. Gibson  
    Name: Robert J. Gibson  
    Title:  

Vice Chairman, Secretary, Treasurer and Director

(Principal Financial Officer)