0001387131-20-004350.txt : 20200501 0001387131-20-004350.hdr.sgml : 20200501 20200501161749 ACCESSION NUMBER: 0001387131-20-004350 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200501 DATE AS OF CHANGE: 20200501 GROUP MEMBERS: AIGH INVESTMENT PARTNERS, LLC GROUP MEMBERS: TZEDAKAH FUND SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82720 FILM NUMBER: 20841088 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HIRSCHMAN ORIN CENTRAL INDEX KEY: 0001131362 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 101 EAST 52ND ST CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 nbse-sc13ga_071219.htm AMENDMENT TO FORM SC 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

Schedule 13G/A
(Amendment No. 4)

 

(Rule 13d-102)

Information to be Included in Statements Filed Pursuant

to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed

Pursuant to § 240.13d-2

 

UNDER THE SECURITIES EXCHANGE ACT OF 1934

 

NEUBASE THERAPEUTICS, INC .

---------------------------------------------------------------------------------

(Name of Issuer)

 

 

COMMON STOCK, PAR VALUE $.0001 PER SHARE

---------------------------------------------------------------------------------

(Title of Class of Securities)

 

 

64132K102

-------------------------------

(CUSIP Number)

 

July 12, 2019

-------------------------------

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

     
 

 

CUSIP NO. 64132K102

---------------------------------------------------------------------------------

1. NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON

 

ORIN HIRSCHMAN

 

---------------------------------------------------------------------------------

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐

(b) ☒

---------------------------------------------------------------------------------

3. SEC USE ONLY

 

--------------------------------------------------------------------------------

4. CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

---------------------------------------------------------------------------------

 

  5. SOLE VOTING POWER
NUMBER OF 563,972
SHARES 6. SHARED VOTING POWER
BENEFICIALLY 563,972
OWNED BY 7. SOLE DISPOSITIVE POWER
EACH 563,972
REPORTING 8. SHARED DISPOSITIVE POWER
PERSON 563,972
WITH:  

 

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON.

 

563,972

---------------------------------------------------------------------------------

 

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ☐

 

--------------------------------------------------------------------------------

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9.

 

2.44%

---------------------------------------------------------------------------------

12. TYPE OF REPORTING PERSON*

 

IN

 - 2 - 
 

 

 

CUSIP NO. 64132K102

---------------------------------------------------------------------------------

1. NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON

 

AIGH INVESTMENT PARTNERS, LLC

--------------------------------------------------------------------------------

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐

(b) ☒

--------------------------------------------------------------------------------

3. SEC USE ONLY

 

--------------------------------------------------------------------------------

4. CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

---------------------------------------------------------------------------------

 

  5. SOLE VOTING POWER
NUMBER OF 333,172
SHARES 6. SHARED VOTING POWER
BENEFICIALLY 333,172
OWNED BY 7. SOLE DISPOSITIVE POWER
EACH 333,172
REPORTING 8. SHARED DISPOSITIVE POWER
PERSON 333,172
WITH:  

 

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON.

 

333,172

---------------------------------------------------------------------------------

 

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ☐

 

--------------------------------------------------------------------------------

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9.

 

1.44%

---------------------------------------------------------------------------------

12. TYPE OF REPORTING PERSON*

 

OO

 

 - 3 - 
 

CUSIP NO. 64132K102

---------------------------------------------------------------------------------

1. NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON

 

THE TZEDAKAH FUND

--------------------------------------------------------------------------------

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ☐

(b) ☒

---------------------------------------------------------------------------------

3. SEC USE ONLY

 

--------------------------------------------------------------------------------

4. CITIZENSHIP OR PLACE OF ORGANIZATION

 

Maryland

---------------------------------------------------------------------------------

  

  5. SOLE VOTING POWER
NUMBER OF 12,800
SHARES 6. SHARED VOTING POWER
BENEFICIALLY 12,800
OWNED BY 7. SOLE DISPOSITIVE POWER
EACH 12,800
REPORTING 8. SHARED DISPOSITIVE POWER
PERSON 12,800
WITH:  

 

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON.

 

12,800

---------------------------------------------------------------------------------

 

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ☐

 

---------------------------------------------------------------------------------

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9.

 

.05%

---------------------------------------------------------------------------------

12. TYPE OF REPORTING PERSON*

 

OO

 

 - 4 - 
 

 

SCHEDULE 13G

 

Item 1(a)Name of Issuer:

 

Neubase Therapeutics, Inc.

 

Item 1(b)Address of Issuer’s Principal Executive Offices:

 

700 Technology Drive, Pittsburgh, PA 15209

 

Item 2(a)Names of Persons Filing:

 

This Schedule 13G is being jointly filed by each of the following persons pursuant to Rule 13d-1 promulgated by the Securities and Exchange Commission pursuant to Section 13 of the Securities Exchange Act of 1934, as amended (the “Act”)

 

I.Orin Hirschman, who is the managing member of AIGH Investment Partners, LLC, and a trustee of The Tzedakah Fund, with respect to shares of Common Stock (as defined in Item 2(d) below) beneficially owned by AIGH Investment Partners, LLC, AIGH Capital Management LLC and The Tzedakah Fund;
II.AIGH Investment Partners, LLC, Delaware limited liability company, with respect to shares of Common Stock (as defined in Item 2(d) below) directly held by it;
III.The Tzedakah Fund with respect to shares of Common Stock directly held by it.

 

Item 2(b)Addresses of Principal Business Offices:

 

The principal business office of Orin Hirschman, AIGH Investment Partners, LLC, and The Tzedakah Fund is 6006 Berkeley Ave., Baltimore, MD 21209.

 

Item 2(c)Citizenship:

 

See item 2(a) above and Item 4 of each cover page.

 

Item 2(d)Title of Class of Securities:

 

Common Stock and Warrants to purchase Common Stock, par value $0.0001 per share

 

Item 2(e)CUSIP Number:

 

64132K102

 

Item 3If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

N/A

 

Item 4.

Ownership

 

1)Orin Hirschman

 

a. Amount Beneficially Owned:

 

563,972

 

b. Percent of class

 

2.44%

 

 - 5 - 
 

 

c. Number of shares as to which AIGH Investment Partners, LLC has:

 

i. Sole power to vote or to direct the vote

 

563,972

 

ii. Shared power to vote or to direct the vote

 

563,972

 

iii. Sole power to dispose or to direct the disposition of

 

563,972

 

iv. Shared power to dispose or to direct the disposition of

 

563,972

 

2)        AIGH Investment Partners, LLC

 

a. Amount Beneficially Owned:

 

333,172

 

b. Percent of class

 

1.44%

 

c. Number of shares as to which AIGH Investment Partners, LLC has:

 

i. Sole power to vote or to direct the vote

 

333,172

 

ii. Shared power to vote or to direct the vote

 

333,172

 

iii. Sole power to dispose or to direct the disposition of

 

333,172

 

iv. Shared power to dispose or to direct the disposition of

 

333,172

 

3)        The Tzedakah Fund

 

a. Amount Beneficially Owned:

 

12,800       

 

b. Percent of class

 

.05%

 

c. Number of shares as to which AIGH Investment Partners, LLC has:

 

 - 6 - 
 

 

i. Sole power to vote or to direct the vote

 

12,800

 

 

ii. Shared power to vote or to direct the vote

 

12,800

 

iii. Sole power to dispose or to direct the disposition of

 

12,800

 

iv. Shared power to dispose or to direct the disposition of

 

12,800

 

Item 5.Ownership of Five Percent or Less of a Class:

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. ☒

 

Item 6.Ownership of More than Five Percent on Behalf of Another Person.

 

N/A

 

Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:

 

N/A

 

Item 8.Identification and Classification of Members of the Group.

 

N/A

 

Item 9.Notice of Dissolution of Group:

 

N/A

 

 

Item 10.Certification:

 

N/A

 

Signature

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

 

Date: May 1, 2020

 

 

 

 

By:

/s/ Orin Hirschman

  Orin Hirschman,

Individually and as managing member of AIGH
Investment Partners, LLC, and AIGH Capital

Management LLC, and a trustee of The Tzedakah

Fund

 

 

 - 7 -