0001104659-23-087887.txt : 20230804 0001104659-23-087887.hdr.sgml : 20230804 20230804163936 ACCESSION NUMBER: 0001104659-23-087887 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230802 FILED AS OF DATE: 20230804 DATE AS OF CHANGE: 20230804 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: 231144576 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: 1231 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 tm2322948-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-08-02 0 0001173281 NeuBase Therapeutics, Inc. NBSE 0001774588 Stephan Dietrich A C/O 350 TECHNOLOGY DRIVE, FOURTH FLOOR PITTSBURGH PA 15219 1 1 1 0 Founder and CEO 0 Common Stock 2023-08-02 4 M 0 93234 0.022 A 93234 D Common Stock 7650 D Common Stock 73588 D Common Stock 63690 I See footnote Stock option (right to buy) 0.022 2023-08-02 4 M 0 93234 0 D 2019-07-12 2023-12-31 Common Stock 93234 0 D 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. Effective on June 14, 2023, NeuBase Therapeutics, Inc. conducted a reverse stock split at a ratio of 1-for-20 (the "Reverse Split"). The numbers of shares reported herein reflect the numbers of shares after the Reverse Split. Reflects stock options under NeuBase Therapeutics, Inc.'s 2018 Equity Incentive Plan. /s/ Todd P. Branning 2023-08-04