0001104659-23-033856.txt : 20230317
0001104659-23-033856.hdr.sgml : 20230317
20230317161103
ACCESSION NUMBER: 0001104659-23-033856
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230316
FILED AS OF DATE: 20230317
DATE AS OF CHANGE: 20230317
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Stephan Dietrich A
CENTRAL INDEX KEY: 0001774588
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35963
FILM NUMBER: 23742660
MAIL ADDRESS:
STREET 1: 213 SMITHFIELD ST
CITY: PITTSBURGH
STATE: PA
ZIP: 15222
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: 350 TECHNOLOGY DRIVE
CITY: PITTSBURGH
STATE: PA
ZIP: 15219
BUSINESS PHONE: 412-763-3350
MAIL ADDRESS:
STREET 1: 350 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
tm239873d1_4.xml
OWNERSHIP DOCUMENT
X0306
4
2023-03-16
0
0001173281
NeuBase Therapeutics, Inc.
NBSE
0001774588
Stephan Dietrich A
C/O 350 TECHNOLOGY DRIVE, FOURTH FLOOR
PITTSBURGH
PA
15219
1
1
1
0
CEO and Director
Common stock
2023-03-16
4
A
0
153000
0
A
153000
D
Common stock
1471775
D
Common stock
1273819
I
See footnote
Restricted stock units to be settled by the issuance of one share of common stock for each restricted stock unit that is earned; 25% of which shall vest on March 16, 2024 and the remainder of which shall vest monthly thereafter until March 16, 2027, provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. Restricted stock units are subject to accelerated vesting, subject to certain conditions, in the event of a change of control of the Issuer.
Shares held by the reporting person as a tenant by the entirety with his spouse.
These shares are held in an irrevocable trust in which the spouse of the reporting person is the investment trustee, and the spouse and the descendants of the reporting person are its beneficiaries, and another irrevocable trust in which the reporting person is the investment trustee, and the reporting person and the descendants of the reporting person's spouse are its beneficiaries.
/s/ Dietrich A. Stephan
2023-03-17