Dietrich A. Stephan - Aug 2, 2023 Form 4 Insider Report for NeuBase Therapeutics, Inc. (NBSE)

Role
Founder and CEO, Director, 10%+ Owner
Signature
/s/ Todd P. Branning
Stock symbol
NBSE
Transactions as of
Aug 2, 2023
Transactions value $
$2,051
Form type
4
Date filed
8/4/2023, 04:39 PM
Previous filing
Mar 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NBSE Common Stock Options Exercise $2.05K +93.2K $0.02* 93.2K Aug 2, 2023 Direct F1
holding NBSE Common Stock 7.65K Aug 2, 2023 Direct F1, F3
holding NBSE Common Stock 73.6K Aug 2, 2023 Direct F1, F3
holding NBSE Common Stock 63.7K Aug 2, 2023 See footnote F2, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NBSE Stock option (right to buy) Options Exercise $0 -93.2K -100% $0.00* 0 Aug 2, 2023 Common Stock 93.2K $0.02 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares held by the reporting person as a tenant by the entirety with his spouse.
F2 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.
F3 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.
F4 Reflects stock options under NeuBase Therapeutics, Inc.'s 2018 Equity Incentive Plan.