SEC Info - Mulye Nirmal - ‘3’ for 5/22/20 re: Gene Biotherapeutics, Inc.

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^*

MULYE NIRMAL

(Last)

(First)

(Middle)

1902 RISE CONDOMINIUM, 88 SW 7TH STREET

(Street)

MIAMI

33131

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
5/22/20

3. Issuer Name and Ticker or Trading Symbol
Gene Biotherapeutics, Inc. [ CRXM ]

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

Director	X	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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Series A Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock, par value $.0001 per share	69,911,504 ⁽¹⁾	0.0113 ⁽¹⁾	I	By Nostrum Pharmaceuticals, LLC
Series B Convertible Preferred Stock	⁽²⁾	⁽²⁾	Common Stock, par value $.0001 per share	150,442,478 ⁽²⁾	0.0113 ⁽²⁾	I	By Nostrum Pharmaceuticals, LLC

Explanation of Responses:

(1) The Reporting Person owns 220 shares of Series A Convertible Preferred Stock and has agreed to purchase up to an additional 570 shares of Series A Convertible Preferred Stock pursuant to a securities purchase agreement entered into on May 22, 2020 with Sabby Healthcare Master Fund Ltd. Each share of Series A Convertible Preferred Stock has a stated value of $1,000, which is convertible into shares of Common Stock at any time at a conversion price of $0.0113, subject to anti-dilution protection. Conversion of the Series A Convertible Preferred Stock is subject to a beneficial ownership limitation contained in the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, which prohibits a holder from converting the Series A Convertible Preferred Stock into Common Stock at any time that the holder beneficially owns more than 9.99% of the issuer's outstanding Common Stock.

(2) The Reporting Person owns 1,700,000 shares of Series B Convertible Preferred Stock. Each share of Series B Convertible Preferred Stock has a stated value of $1.00 per share, which is convertible into Common Stock at any time at a conversion price of $0.0113, subject to anti-dilution protection.

	/s/ Nirmal Mulye, Ph.D.	8/17/20
	** 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Mulye Nirmal – ‘3’ for 5/22/20 re: Gene Biotherapeutics, Inc.

On: Monday, 8/17/20, at 2:30pm ET · For: 5/22/20 · Accession #: 1493152-20-16065 · File #: 1-33635

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents

This ‘3’ Document is an XML Data File that may be rendered in various formats:

Mulye Nirmal – ‘3’ for 5/22/20 re: Gene Biotherapeutics, Inc.

On: Monday, 8/17/20, at 2:30pm ET · For: 5/22/20 · Accession #: 1493152-20-16065 · File #: 1-33635

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34Filing Table of Contents

This ‘3’ Document is an XML Data File that may be rendered in various formats:

Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
Filing Table of Contents