0001104659-23-033858.txt : 20230317 0001104659-23-033858.hdr.sgml : 20230317 20230317161124 ACCESSION NUMBER: 0001104659-23-033858 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: Branning Todd P. CENTRAL INDEX KEY: 0001765274 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35963 FILM NUMBER: 23742671 MAIL ADDRESS: STREET 1: C/O AMNEAL PHARMACEUTICLAS, INC. STREET 2: 400 CROSSING BOULEVARD CITY: BRIDGEWATER STATE: NJ ZIP: 08807 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 tm239873d2_4.xml OWNERSHIP DOCUMENT X0306 4 2023-03-16 0 0001173281 NeuBase Therapeutics, Inc. NBSE 0001765274 Branning Todd P. C/O 350 TECHNOLOGY DRIVE, FOURTH FLOOR PITTSBURGH PA 15219 0 1 0 0 Chief Financial Officer Common stock 2023-03-16 4 A 0 54200 0 A 84200 D 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. /s/ Todd P. Branning 2023-03-17