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4//SEC Filing

Neurotrope, Inc. 4

Accession 0001144204-15-066402

CIK 0001513856operating
View on SEC.govCompany Profile

Filed

Nov 16, 7:00 PM ET

Accepted

Nov 17, 3:37 PM ET

Size

34.4 KB

Accession

0001144204-15-066402

Insider Transaction Report

Form 4
Period: 2015-11-13
Neurotrope, Inc.NTRP
ABELES JOHN H
Director10% Owner
Transactions
  • Award

    Series B Preferred Stock

    2015-11-13+1,666.67→ 166,667 total
    Exercise: $0.00→ Common Stock (166,667 underlying)
  • Award

    Series A Warrant

    2015-11-13+166,667→ 166,667 total
    Exercise: $0.80Exp: 2020-11-13→ Common Stock (166,667 underlying)
  • Purchase

    Series A Warrant

    2015-11-13+208,334→ 208,334 total(indirect: See Footnote)
    Exercise: $0.80Exp: 2020-11-13→ Common Stock (208,334 underlying)
  • Purchase

    Series B Preferred Stock

    2015-11-13+2,083.34→ 208,334 total(indirect: See Footnote)
    Exercise: $0.00→ Common Stock (208,334 underlying)
  • Purchase

    Series B Warrant

    2015-11-13+208,334→ 208,334 total(indirect: See Footnote)
    Exercise: $0.80Exp: 2016-11-13→ Common Stock (208,334 underlying)
  • Award

    Series B Warrant

    2015-11-13+166,667→ 166,667 total
    Exercise: $0.80Exp: 2016-11-13→ Common Stock (166,667 underlying)
  • Award

    Series E Warrant

    2015-11-13+166,667→ 166,667 total
    Exercise: $1.50→ Common Stock (166,667 underlying)
  • Purchase

    Series C Warrant

    2015-11-13+208,334→ 208,334 total(indirect: See Footnote)
    Exercise: $1.25Exp: 2020-11-13→ Common Stock (208,334 underlying)
  • Purchase

    Series E Warrant

    2015-11-13+208,334→ 208,334 total(indirect: See Footnote)
    Exercise: $1.50→ Common Stock (208,334 underlying)
  • Award

    Series C Warrant

    2015-11-13+166,667→ 166,667 total
    Exercise: $1.25Exp: 2020-11-13→ Common Stock (166,667 underlying)
  • Award

    Series D Warrant

    2015-11-13+166,667→ 166,667 total
    Exercise: $1.00→ Common Stock (166,667 underlying)
  • Purchase

    Series D Warrant

    2015-11-13+208,334→ 208,334 total(indirect: See Footnote)
    Exercise: $1.00→ Common Stock (208,334 underlying)
Footnotes (14)
  • [F1]The reported securities are included within units with a purchase price of $0.60 per unit, each unit consisting of one one-hundredth of a share of Series B Preferred Stock, one Series A Warrant, one Series B Warrant, one Series C Warrant, one Series D Warrant and one Series E Warrant.
  • [F10]Each Series A Warrant allows the reporting person to acquire, at an exercise price of $0.80 per share with an expiration date five years from the date of issuance, one share of Common Stock subject to adjustment. These securities are restricted, and such restrictions shall lapse with respect to 15,000 Series B Shares and a corresponding portion of the Warrants on a monthly basis, for services performed in the preceding month by Dr. Abeles.
  • [F11]Each Series B Warrant allows the reporting person to acquire, at an exercise price of $0.80 per share with an expiration date of one year from the date of issuance, one share of Common Stock subject to adjustment. These securities are restricted, and such restrictions shall lapse with respect to 15,000 Series B Shares and a corresponding portion of the Warrants on a monthly basis, for services performed in the preceding month by Dr. Abeles.
  • [F12]Each Series C Warrant allows the reporting person to acquire, at an exercise price of $1.25 per share with an expiration date of five years from the date of issuance, one share of Common Stock subject to adjustment. These securities are restricted, and such restrictions shall lapse with respect to 15,000 Series B Shares and a corresponding portion of the Warrants on a monthly basis, for services performed in the preceding month by Dr. Abeles.
  • [F13]Each Series D Warrant will be exercisable only if and to the extent that the Series B Warrants are exercised and will expire on the five year anniversary of the date that the Series B Warrant is initially exercised. These securities are restricted, and such restrictions shall lapse with respect to 15,000 Series B Shares and a corresponding portion of the Warrants on a monthly basis, for services performed in the preceding month by Dr. Abeles.
  • [F14]Each Series E Warrant will be exercisable only if and to the extent that the Series C Warrants are exercised and will expire on the five year anniversary of the date that the Series C Warrant is initially exercised. These securities are restricted, and such restrictions shall lapse with respect to 15,000 Series B Shares and a corresponding portion of the Warrants on a monthly basis, for services performed in the preceding month by Dr. Abeles.
  • [F2]The Series B Preferred Stock may be converted at any time by the holder at an initial conversion ratio of one share of Common Stock per one one-hundredth share of Series B Preferred Stock and have no expiration date.
  • [F3]Each Series A Warrant allows the reporting person to acquire, at an exercise price of $0.80 per share with an expiration date five years from the date of issuance, one share of Common Stock subject to adjustment.
  • [F4]Each Series B Warrant allows the reporting person to acquire, at an exercise price of $0.80 per share with an expiration date of one year from the date of issuance, one share of Common Stock subject to adjustment.
  • [F5]Each Series C Warrant allows the reporting person to acquire, at an exercise price of $1.25 per share with an expiration date of five years from the date of issuance, one share of Common Stock subject to adjustment.
  • [F6]Each Series D Warrant will be exercisable only if and to the extent that the Series B Warrants are exercised and will expire on the five year anniversary of the date that the Series B Warrant is initially exercised.
  • [F7]Each Series E Warrant will be exercisable only if and to the extent that the Series C Warrants are exercised and will expire on the five year anniversary of the date that the Series C Warrant is initially exercised.
  • [F8]Shares held by Northlea Partners, LLLP. The reporting person is the Managing Member of Northlea Partners, LLLP and has sole voting and investment power over the shares owned by Northlea Partners, LLLP.
  • [F9]These securities are restricted, and such restrictions shall lapse with respect to 15,000 Series B Shares and a corresponding portion of the Warrants on a monthly basis, for services performed in the preceding month by Dr. Abeles. Once the restricted stock vests, the Series B Preferred Stock may be converted at any time by the holder at an initial conversion ratio of one share of Common Stock per one one-hundredth share of Series B Preferred Stock and have no expiration date.

Documents

1 file

Issuer

Neurotrope, Inc.

CIK 0001513856

→
Entity typeoperating
IncorporatedNV

Related Parties

1
  • filerCIK 0001513856

Filing Metadata

Form type
4
Filed
Nov 16, 7:00 PM ET
Accepted
Nov 17, 3:37 PM ET
Size
34.4 KB
View on SEC.gov