Phillip Frost - Sep 11, 2023 Form 3 Insider Report for NOCOPI TECHNOLOGIES INC/MD/ (NNUP)

Role
10%+ Owner
Signature
/s/ Phillip Frost, M.D., Individually
Stock symbol
NNUP
Transactions as of
Sep 11, 2023
Transactions value $
$0
Form type
3
Date filed
9/13/2023, 06:55 PM
Previous filing
Aug 18, 2023
Next filing
Sep 21, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding NNUP Common Stock 1.25M Sep 11, 2023 See footnote F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction pursuant to that certain Stock Purchase Agreement by and between the Issuer and Frost Gamma Investments Trust, dated September 11, 2023.
F2 These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.