ADVFN Logo ADVFN

We could not find any results for:
Make sure your spelling is correct or try broadening your search.

Trending Now

Toplists

It looks like you aren't logged in.
Click the button below to log in and view your recent history.

Hot Features

Registration Strip Icon for default Register for Free to get streaming real-time quotes, interactive charts, live options flow, and more.

NBSE NeuBase Therapeutics Inc

0.4156
-0.0027 (-0.65%)
After Hours
Last Updated: 23:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
NeuBase Therapeutics Inc NASDAQ:NBSE NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.0027 -0.65% 0.4156 0.411 0.439 0.4398 0.4113 0.4256 8,561 23:00:00

Statement of Changes in Beneficial Ownership (4)

11/09/2020 10:20pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

PRENDERGAST FRANKLYN G
2. Issuer Name and Ticker or Trading Symbol

NeuBase Therapeutics, Inc. [ NBSE ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O 700 TECHNOLOGY DRIVE, THIRD FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

9/9/2020
(Street)

PITTSBURGH, PA 15219
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock option (right to buy) $8.80 9/9/2020  A   14634     (1)9/9/2030 Common Stock 14634 $0 14634 D  

Explanation of Responses:
(1) 25% of the total shares shall vest on the first anniversary of September 9, 2020, and the remaining shares shall vest on an equal monthly basis over the following 36 months.

Remarks:
The power of attorney under which this form was signed is on file with the Commission.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
PRENDERGAST FRANKLYN G
C/O 700 TECHNOLOGY DRIVE, THIRD FLOOR
PITTSBURGH, PA 15219
X



Signatures
/s/ Sam Backenroth, as attorney-in-fact for Franklyn G. Prendergast9/11/2020
**Signature of Reporting PersonDate

1 Year NeuBase Therapeutics Chart

1 Year NeuBase Therapeutics Chart

1 Month NeuBase Therapeutics Chart

1 Month NeuBase Therapeutics Chart

Your Recent History

Delayed Upgrade Clock