STEPHAN DIETRICH A (President and CEO) reported 4 transactions at NEUBASE THERAPEUTICS, INC.
Review the transaction codes below to understand the nature of each event.
Filed: 12/30/2020ACC: 0001104659-20-140595
DirectorOfficer· President and CEO
Since Jul 2019
-6.20M
Net shares
Net seller
$0.00
Total acquired
0
Open market trades
0B · 0S
5
Total transactions
164.93K acquired · 6.37M disposed
Non-Derivative Transactions4
Common Stock
Indirect
Shares
−2.55M
Price / share
—
Trade value
—
% of position
50.0%
11/23/2020
5.10M→2.55M
Common Stock
Indirect
Shares
−1.27M
Price / share
—
Trade value
—
% of position
33.3%
11/30/2020
3.82M→2.55M
Common Stock
Indirect
Shares
−1.27M
Price / share
—
Trade value
—
% of position
33.3%
12/1/2020
3.82M→2.55M
Common Stock
Indirect
Shares
−1.27M
Price / share
—
Trade value
—
% of position
50.0%
12/1/2020
2.55M→1.27M
Total
Net shares
−6.37M
Net value
$0.00
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Indirect | 11/23/2020 | G · Gift | −2.55M | — | — | 50.0% | 5.10M | 2.55M |
| Common Stock Indirect | 11/30/2020 | G · Gift | −1.27M | — | — | 33.3% | 3.82M | 2.55M |
| Common Stock Indirect | 12/1/2020 | G · Gift | −1.27M | — | — | 33.3% | 3.82M | 2.55M |
| Common Stock Indirect | 12/1/2020 | G · Gift | −1.27M | — | — | 50.0% | 2.55M | 1.27M |
| Total | −6.37M | $0.00 | ||||||
Derivative Transactions1
Stock option (right to buy)
Direct
Converts to
Common Stock
164.93K shares
Shares
+164.93K
Strike price
6.92
Held after
164.93K
Exercisable
—
12/29/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Stock option (right to buy) Direct | Common Stock164.93K shares | 12/29/2020 | A · Award | +164.93K | 6.92 | — | 164.93K |
Non-Derivative Holdings (Post-Transaction)1
Common Stock
DirectShares owned12.53K
Total
12.53K direct12.53K
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 12.53K | Direct |
| Total | 12.53K | 12.53K direct |
Derivative Holdings (Post-Transaction)0
No derivative holdings reported