NeuBase Therapeutics, Inc. Annual report pursuant to Section 13 and 15(d)

Annual report pursuant to Section 13 and 15(d)

COMMON STOCK WARRANTS (Tables)

COMMON STOCK WARRANTS (Tables)

12 Months Ended

Sep. 30, 2013

Date		Number			Exercise		Contractual		Expiration
Issued		Outstanding			Price		Life (Years)		Date
	Balance 10/1/08		4,503,286			3.54		5		Various
	03/20/09		1,666,667			1.50		5		03/31/14
	06/03/09		3,722,224			0.54		5		06/03/14
	09/30/09		50,000			1.20		5		06/30/14
	Expired
	Balance 9/30/09		9,942,177			2.06
	10/09/09		29,333			1.50		5		10/29/14
	11/09/09		6,000			1.50		5		11/09/14
	12/04/09		43,333			1.80		2		12/04/11
	12/15/09		(1,861,112	)		0.54
	01/15/10		1,861,112			1.65		5		01/15/15
	01/15/10		(1,861,112	)		0.54
	04/09/10		3,333			1.65		5		4/9/2015
	07/23/10		31,000			1.50		3		07/23/13
	Expired
	Balance 9/30/10		8,194,064			2.66
	12/30/10		840,000			1.65		5		12/30/15
	05/12/11		18,333			1.50		5		05/12/16
	06/13/11		100,000			1.50		2		06/13/13
	07/15/11		33,333			1.62		5		07/15/16
	07/15/11		40,000			1.62		5		07/15/16
	08/23/11		16,667			2.01		3		08/23/14
	Expired		(363,523	)		3.57
	Balance 9/30/11		8,878,874			2.50

Date		Number			Exercise		Contractual		Expiration
Issued		Outstanding			Price		Life (Years)		Date
	Balance 9/30/11		8,878,874			2.50
	12/16/11		305,559			1.95		5		12/16/16
	12/21/12		1,042			1.95		5		12/21/12
	03/03/12		116,667			1.95		5		03/03/17
	04/10/12		(14,464	)		1.80
	04/12/12		5,000			2.70		3		4/12/2015
	05/18/12		116,667			2.85		3		5/18/2015
	06/28/12		(1,766,334	)		1.65
	06/28/12		1,059,803			3.60		5		06/28/17
	07/11/12		16,667			2.85		3		07/11/15
	07/17/12		(10,000	)		1.50
	09/07/12		25,000			3.00		5		09/07/17
	Expired		(206,843	)		2.37
	Balance 9/30/12		8,527,638			2.80
	10/24/2012		(66,667	)		1.50
	3/7/2013		(6,996	)		3.57
	3/11/2013		(1,679	)		3.57
	3/21/2013		40,000			4.32		5		3/21/2018
	3/21/2013		16,667			4.32		3		3/21/2018
	3/22/2013		(3,704	)		1.65
	3/27/2013		(840,000	)		1.65
	4/18/2013		(1,406,320	)		3.57
	6/7/2013		(6,519	)		1.65
	6/14/2013		(1,000	)		1.50
	7/2/2013		(50,000	)		1.50
	9/20/2013		(13,889	)		1.95
	Expired		(326,597	)		3.57
	9/30/2013		5,860,934			2.77

- Definition

Tabular disclosure of warrants or rights issued. Warrants and rights outstanding are derivative securities that give the holder the right to purchase securities (usually equity) from the issuer at a specific price within a certain time frame. Warrants are often included in a new debt issue to entice investors by a higher return potential. The main difference between warrants and call options is that warrants are issued and guaranteed by the company, whereas options are exchange instruments and are not issued by the company. Also, the lifetime of a warrant is often measured in years, while the lifetime of a typical option is measured in months. Disclose the title of issue of securities called for by warrants and rights outstanding, the aggregate amount of securities called for by warrants and rights outstanding, the date from which the warrants or rights are exercisable, and the price at which the warrant or right is exercisable.

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