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