0001104659-21-116924.txt : 20210917 0001104659-21-116924.hdr.sgml : 20210917 20210917161713 ACCESSION NUMBER: 0001104659-21-116924 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210819 FILED AS OF DATE: 20210917 DATE AS OF CHANGE: 20210917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PRENDERGAST FRANKLYN G CENTRAL INDEX KEY: 0001233256 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35963 FILM NUMBER: 211260624 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NeuBase Therapeutics, Inc. CENTRAL INDEX KEY: 0001173281 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 465622433 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 700 TECHNOLOGY DRIVE CITY: PITTSBURGH STATE: PA ZIP: 15219 BUSINESS PHONE: 6464501790 MAIL ADDRESS: STREET 1: 700 TECHNOLOGY DRIVE CITY: PITTSBURGH STATE: PA ZIP: 15219 FORMER COMPANY: FORMER CONFORMED NAME: Ohr Pharmaceutical Inc DATE OF NAME CHANGE: 20090819 FORMER COMPANY: FORMER CONFORMED NAME: BBM HOLDINGS, INC. DATE OF NAME CHANGE: 20070402 FORMER COMPANY: FORMER CONFORMED NAME: PRIME RESOURCE INC DATE OF NAME CHANGE: 20020513 4 1 tm2127926-2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-08-19 0 0001173281 NeuBase Therapeutics, Inc. NBSE 0001233256 PRENDERGAST FRANKLYN G C/O 350 TECHNOLOGY DRIVE, FOURTH FLOOR PITTSBURGH PA 15219 1 0 0 0 Stock option (right to buy) 3.36 2021-08-19 4 A 0 38135 0 A 2031-08-19 Common Stock 38135 38135 D 25% of the total shares shall vest on the first anniversary of August 19, 2021, and the remaining shares shall vest on an equal monthly basis over the following 36 months. The power of attorney under which this form was signed is on file with the Commission. /s/ Sam Backenroth, as attorney-in-fact for Franklyn G. Prendergast 2021-09-17