Stephan Dietrich A 4
4 · NeuBase Therapeutics, Inc. · Filed Dec 30, 2020
Insider Transaction Report
Form 4
Stephan Dietrich A
DirectorPresident and CEO10% Owner
Transactions
- Gift
Common Stock
2020-12-01−1,273,819→ 2,547,639 total(indirect: See footnote) - Gift
Common Stock
2020-11-23−2,547,639→ 2,547,639 total(indirect: See footnote) - Award
Stock option (right to buy)
2020-12-29+164,925→ 164,925 totalExercise: $6.92Exp: 2030-12-29→ Common Stock (164,925 underlying) - Gift
Common Stock
2020-11-30−1,273,819→ 2,547,639 total(indirect: See footnote) - Gift
Common Stock
2020-12-01−1,273,820→ 1,273,819 total(indirect: See footnote)
Holdings
- 12,525
Common Stock
Footnotes (6)
- [F1]Shares held by the reporting person as a tenant by the entirety with his spouse.
- [F2]This transaction involved a gift of securities by the reporting person to a revocable trust in which the reporting person is the grantor, trustee and sole beneficiary.
- [F3]This transaction involved a gift of securities by the reporting person to a revocable trust in which the spouse of the reporting person is the trustee and sole beneficiary.
- [F4]This transaction involved a gift of securities by the reporting person to an irrevocable trust in which the spouse of the reporting person is the investment trustee, and the spouse and the descendants of the reporting person are the beneficiaries of such irrevocable trust. It also involved a gift of securities by the reporting person's spouse to an irrevocable trust in which the reporting person is the investment trustee, and the reporting person and the descendants of the reporting person's spouse are the beneficiaries of such irrevocable trust.
- [F5]These shares are indirectly beneficially owned through the irrevocable trusts described immediately above.
- [F6]25% of the total shares shall vest on the first anniversary of December 29, 2020, and the remaining shares shall vest on an equal monthly basis over the following 36 months.