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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee stock option (right to buy) | $ 5.39 | 07/12/2019 | A | 772,923 | (1) | 07/12/2029 | Common stock | 772,923 | $ 0 | 772,923 | D | ||||
Employee stock option (right to buy) | $ 10.14 | 07/12/2019 | J(2) | 3,000 | (2) | (2) | Common stock | 3,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Backenroth Samuel C/O 700 TECHNOLOGY DRIVE, THIRD FLOOR PITTSBURGH, PA 15219 |
CFO, Treasurer & Secretary |
/s/ Sam Backenroth | 07/16/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | 1/48th of the total shares subject to the option shall vest monthly over four years, provided that such vesting shall occur on a scheduled vesting date only if Mr. Backenroth's employment with the Company has not been terminated prior to such vesting date. |
(2) | Options to purchase common stock that were cancelled pursuant to the completion of the merger contemplated by that certain Agreement and Plan of Merger and Reorganization, dated as of January 2, 2019, by and among the Issuer (f/k/a Ohr Pharmaceutical, Inc.), Ohr Acquisition Corp., and NeuBase Therapeutics, Inc., as amended. |
Remarks: Exhibit 24 - Power of Attorney |