Dietrich A. Stephan - 02 Aug 2023 Form 4 Insider Report for NeuBase Therapeutics, Inc.

Role
Founder and CEO, Director, 10%+ Owner
Signature
/s/ Todd P. Branning
Issuer symbol
N/A
Transactions as of
02 Aug 2023
Net transactions value
+$2,051
Form type
4
Filing time
04 Aug 2023, 16:39:36 UTC
Previous filing
17 Mar 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NBSE Common Stock Options Exercise $2,051 +93,234 $0.0220* 93,234 02 Aug 2023 Direct F1
holding NBSE Common Stock 7,650 02 Aug 2023 Direct F1, F3
holding NBSE Common Stock 73,588 02 Aug 2023 Direct F1, F3
holding NBSE Common Stock 63,690 02 Aug 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 -93,234 -100% $0.000000* 0 02 Aug 2023 Common Stock 93,234 $0.0220 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.