UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option | 06/28/2012 | 06/28/2017 | Common Stock | 29,000 | $ 3.6 | I | See footnotes (1) (2) |
Warrant | 04/18/2013 | 09/30/2014 | Common Stock | 337,481 | $ 6.75 | I | See footnotes (1) (2) |
Option | 03/09/2012 | 03/09/2017 | Common Stock | 25,000 | $ 1.71 | D | |
Option | (4) | 03/09/2017 | Common Stock | 75,000 | $ 1.71 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HIRSCHMAN ORIN C/O OHR PHARMACEUTICAL, INC. 489 5TH AVENUE, 28TH FL. NEW YORK, NY 10017 |
X | X |
/s/ Orin Hirschman | 06/24/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | AIGH Investment Partners ("AIGH") directly beneficially owns 1,490,059 Shares and directly beneficially owns an aggrergate of 366,481 Shares issuable pursuant to Derivative Securities. |
(2) | Orin Hirschman ("Hirschman") is the sole member of AIGH. Hirschman is in a position indirectly to determine the investment and voting decisions made by AIGH. |
(3) | Hirschman owns indirectly 83,000 Shares as custodian of accounts for the benefit of his seven minor children. |
(4) | These options to purchase common stock of the Issuer are exercisable over a 3 year period with 1/3 of the options granted vesting on an annual basis commencing on March 9, 2013. |