# EDGAR Filing Document

**Accession Number:** 0001173281
**File Stem:** 0001104659-23-033856
**Filing Date:** 2023-3
**Character Count:** 6925
**Document Hash:** 776f9d00b4a8e79d3bc3e683600c2e8c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-033856.hdr.sgml**: 20230317

**ACCESSION NUMBER**: 0001104659-23-033856

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230316

**FILED AS OF DATE**: 20230317

**DATE AS OF CHANGE**: 20230317

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Stephan Dietrich A
- **CENTRAL INDEX KEY:** 0001774588

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-35963
- **FILM NUMBER:** 23742660

**MAIL ADDRESS:**
- **STREET 1:** 213 SMITHFIELD ST
- **CITY:** PITTSBURGH
- **STATE:** PA
- **ZIP:** 15222
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NeuBase Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001173281
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 465622433
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**BUSINESS ADDRESS:**
- **STREET 1:** 350 TECHNOLOGY DRIVE
- **CITY:** PITTSBURGH
- **STATE:** PA
- **ZIP:** 15219
- **BUSINESS PHONE:** 412-763-3350

**MAIL ADDRESS:**
- **STREET 1:** 350 TECHNOLOGY DRIVE
- **CITY:** PITTSBURGH
- **STATE:** PA
- **ZIP:** 15219

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Ohr Pharmaceutical Inc
- **DATE OF NAME CHANGE:** 20090819

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BBM HOLDINGS, INC.
- **DATE OF NAME CHANGE:** 20070402

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRIME RESOURCE INC
- **DATE OF NAME CHANGE:** 20020513

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Stephan Dietrich A<br><sub>(Last) (First) (Middle)</sub><br>C/O 350 TECHNOLOGY DRIVE, FOURTH FLOOR<br><sub>(Street)</sub><br>PITTSBURGH, PA 15219<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CEO and Director_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NeuBase Therapeutics, Inc. [ NBSE ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common stock | 2023-03-16 |  | A |  | 153000<sup>(1)</sup> | A | $0 | 153000 | D |  |
| Common stock |  |  |  |  |  |  |  | 1471775 | D<sup>(2)</sup> |  |
| Common stock |  |  |  |  |  |  |  | 1273819 | I | See footnote<sup>(3)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Restricted stock units to be settled by the issuance of one share of common stock for each restricted stock unit that is earned; 25% of which shall vest on March 16, 2024 and the remainder of which shall vest monthly thereafter until March 16, 2027, provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. Restricted stock units are subject to accelerated vesting, subject to certain conditions, in the event of a change of control of the Issuer.

(2) Shares held by the reporting person as a tenant by the entirety with his spouse.

(3) These shares are held in 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 its beneficiaries, and another 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 its beneficiaries.

**Signature:** /s/ Dietrich A. Stephan  
**Date:** 2023-03-17

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**