Basic Stats
| LEI | 529900RHAZB85RGSJZ73 |
| CIK | 1173281 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to NeuBase Therapeutics, Inc.
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| January 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File No. 001-35963 NeuBase Therapeutics, Inc. (Exact name of registrant as specified in |
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| January 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 2, 2025 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commiss |
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| June 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File No. 001-35963 NeuBase Therapeutics, Inc. (Exact name of registrant as specified in |
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| June 27, 2024 |
As filed with the Securities and Exchange Commission on June 27, 2024 As filed with the Securities and Exchange Commission on June 27, 2024 Registration No. |
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| June 27, 2024 |
As filed with the Securities and Exchange Commission on June 27, 2024 As filed with the Securities and Exchange Commission on June 27, 2024 Registration No. |
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| June 27, 2024 |
As filed with the Securities and Exchange Commission on June 27, 2024 As filed with the Securities and Exchange Commission on June 27, 2024 Registration No. |
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| June 27, 2024 |
State of Delaware Certificate of Dissolution (Section 275) Exhibit 4.1 State of Delaware Certificate of Dissolution (Section 275) NeuBase Therapeutics, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The dissolution of the Corporation (the “Dissolution”) has been duly authorized by the board of directors of the Corporation and the holders of a majori |
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| June 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 26, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissio |
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| June 27, 2024 |
As filed with the Securities and Exchange Commission on June 27, 2024 As filed with the Securities and Exchange Commission on June 27, 2024 Registration No. |
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| June 27, 2024 |
As filed with the Securities and Exchange Commission on June 27, 2024 As filed with the Securities and Exchange Commission on June 27, 2024 Registration No. |
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| June 27, 2024 |
As filed with the Securities and Exchange Commission on June 27, 2024 As filed with the Securities and Exchange Commission on June 27, 2024 Registration No. |
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| June 27, 2024 |
As filed with the Securities and Exchange Commission on June 27, 2024 As filed with the Securities and Exchange Commission on June 27, 2024 Registration No. |
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| June 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant ¨ Check the appropriate box: ¨ ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6( |
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| May 31, 2024 |
CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED BYLAWS OF NEUBASE THERAPEUTICS, INC. Exhibit 3.1 CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED BYLAWS OF NEUBASE THERAPEUTICS, INC. The undersigned hereby certifies that he is the duly elected, qualified and acting Interim Chief Executive Officer of NeuBase Therapeutics, Inc., a Delaware corporation (the “Corporation”), and that the Amended and Restated Bylaws of the Corporation (as amended from time to time, the “Bylaws”) were am |
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| May 31, 2024 |
CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK OF NEUBASE THERAPEUTICS, INC. Exhibit 3.2 CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK OF NEUBASE THERAPEUTICS, INC. NeuBase Therapeutics, Inc., a Delaware corporation (the “Corporation”), does hereby certify that, pursuant to the authority conferred upon the Board of Directors of the Corporation (the “Board of Directors”) by the Amended and Restated Certificate of Incorporation of the Corporation (as amended and/or |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 28, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 31, 2024 |
SUBSCRIPTION AND INVESTMENT REPRESENTATION AGREEMENT Exhibit 10.1 SUBSCRIPTION AND INVESTMENT REPRESENTATION AGREEMENT THIS SUBSCRIPTION AND INVESTMENT REPRESENTATION AGREEMENT, dated as of May 29, 2024 (this “Agreement”), is by and between NeuBase Therapeutics, Inc., a Delaware corporation (the “Company”), and the undersigned subscriber (the “Subscriber”). In consideration of the mutual promises contained herein, and other good, valuable and adequa |
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| May 22, 2024 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 22, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| May 13, 2024 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 13, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| May 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 2, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 9, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as per |
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| April 5, 2024 |
NeuBase Therapeutics Announces Receipt of Notice from Nasdaq Exhibit 99.1 NeuBase Therapeutics Announces Receipt of Notice from Nasdaq PITTSBURGH, April 5, 2024 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (“NeuBase” or the “Company”) today reported that it received a notice (the “Notice) on April 4, 2024 from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it was not in compliance with Nasdaq’s cont |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 4,2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 25, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as per |
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| March 7, 2024 |
PLAN OF LIQUIDATION AND DISSOLUTION OF NEUBASE THERAPEUTICS, INC. Exhibit 2.1 PLAN OF LIQUIDATION AND DISSOLUTION OF NEUBASE THERAPEUTICS, INC. This Plan of Liquidation and Dissolution (the “Plan”) is intended to accomplish the complete liquidation and dissolution of NEUBASE THERAPEUTICS, INC., a Delaware corporation (such corporation or a successor entity, the “Company”), in accordance with Section 281(b) of the General Corporation Law of the State of Delaware |
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| March 7, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 5, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissio |
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| February 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 22, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* NeuBase Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 64132K201 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 26, 2024 |
redemption and termination Agreement Exhibit 10.1 redemption and termination Agreement This Redemption and Termination Agreement (this “Agreement”) is dated as of January 26, 2024, by and between NeuBase Therapeutics, Inc. or any Successor Entity thereto (together, the “Company”) and Armistice Capital Master Fund Ltd. (the “Warrant Holder”). Capitalized terms used and not otherwise defined herein shall have the meanings set forth in |
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| January 26, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 26, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commis |
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| January 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 12, 2024 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commis |
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| December 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 27, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 28, 2023 |
Exhibit 10.2 BILL OF SALE THIS BILL OF SALE (this “Bill of Sale”) is dated as of this 27th day of December, 2023, by NEUBASE THERAPEUTICS, INC., a Delaware corporation (the “Transferor”) for the benefit of UNIVERSITY OF PITTSBURGH-OF THE COMMONWEALTH SYSTEM OF HIGHER EDUCATION, a Pennsylvania non-profit corporation (the “Transferee”). WITNESSETH: WHEREAS, Transferor and 350 Technology Drive Partne |
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| December 28, 2023 |
LEASE TERMINATION AND MUTUAL RELEASE AGREEMENT Exhibit 10.1 LEASE TERMINATION AND MUTUAL RELEASE AGREEMENT THIS LEASE TERMINATION AND MUTUAL RELEASE AGREEMENT (this “Agreement”) is made as of this 27 day of December, 2023 (the “Effective Date”), by and between 350 TECHNOLOGY DRIVE PARTNERS, LLC, a Pennsylvania limited liability company (“Landlord”), and NEUBASE THERAPEUTICS, INC., a Delaware corporation (“Tenant”). RECITALS WHEREAS, Landlord a |
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| December 28, 2023 |
293,398 Shares of Common Stock Up to $10,000,000 of Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-254980 SUPPLEMENT NO. 2 TO PROSPECTUS SUPPLEMENT DATED DECEMBER 29, 2022 (to Prospectus dated April 14, 2021) 293,398 Shares of Common Stock Up to $10,000,000 of Shares of Common Stock This Supplement No. 2 to Prospectus Supplement (this “Supplement No. 2”) amends and supplements the information in the prospectus, dated April 14, 2021 (the “Pro |
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| December 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 20, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| November 9, 2023 |
3………………. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents 3………………. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to. Commission File Number |
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| November 6, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 3, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 17, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 18, 2023 |
SERIES A-1 COMMON STOCK PURCHASE WARRANT NEUBASE THERAPEUTICS, INC. Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 18, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 17, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 18, 2023 |
Exhibit 10.1 exchange Agreement This Exchange Agreement (this “Agreement”) is dated as of October 17, 2023, by and between NeuBase Therapeutics, Inc. or any Successor Entity thereto (together, the “Company”) and Armistice Capital Master Fund Ltd. (the “Warrant Holder”). Capitalized terms used and not otherwise defined herein shall have the meanings set forth in the Securities Purchase Agreements ( |
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| September 29, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 28, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Comm |
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| September 20, 2023 |
SC 13D/A 1 ea185515-13da2symetryxneuba.htm AMENDMENT NO. 2 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) NeuBase Therapeutics, Inc. (Name of Issuer) Common stock, par value $0.0001 (Title of Class of Securities) 64132K201 (CUSIP Number) Barry Shiff, 2828 Bathurst Street, Suite 400, |
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| September 18, 2023 |
CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED BYLAWS OF NEUBASE THERAPEUTICS, INC. Exhibit 3.1 CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED BYLAWS OF NEUBASE THERAPEUTICS, INC. The undersigned hereby certifies that he is the duly elected, qualified and acting Chief Executive Officer of NeuBase Therapeutics, Inc., a Delaware corporation (the “Corporation”), and that the Amended and Restated Bylaws of the Corporation (the “Bylaws”) were amended by unanimous written consent of |
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| September 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 15, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Comm |
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| September 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| September 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) NeuBase Therapeutics, Inc. (Name of Issuer) Common stock, par value $0.0001 (Title of Class of Securities) 64132K201 (CUSIP Number) Barry Shiff, 2828 Bathurst Street, Suite 400, Toronto, Canada M6B-3A7, 416-453-7832 (Name, Address and Telephone Number |
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| August 31, 2023 |
US64132K2015 / NeuBase Therapeutics, Inc. / Symetryx Corp - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* Neubase Therapeutics, Inc. (Name of Issuer) Common stock, par value $0.0001 (Title of Class of Securities) 64132K201 (CUSIP Number) Barry Shiff, 2828 Bathurst Street, Suite 400, Toronto, Canada M6B-3A7, 416-453-7832 (Name, Address and Telephone Number of |
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| August 31, 2023 |
EX-99.1 2 ea184525ex99-1neubase.htm PURCHASES BY REPORTING PERSONS OF SHARES OF ISSUER COMMON STOCK DURING THE PAST 60 DAYS Exhibit 99.1 Purchases by Reporting Persons of Shares of Issuer Common Stock During the Past Sixty Days Trade Date Quantity Trade Price Transaction Purchaser August 21, 2023 7,700 0.673 On market Symetryx Corporation August 21, 2023 5,100 0.663 On market Symetryx Corporation |
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| August 31, 2023 |
EX-99.2 3 ea184525ex99-2neubase.htm POWER OF ATTORNEY OF SYMETRYX AND BARRY SHIFF AUTHORIZING LEGAL COUNSEL TO CAUSE THIS SCHEDULE 13D TO BE FILED WITH THE SECURITIES AND EXCHANGE COMMISSION Exhibit 99.2 Barry Shiff Power of Attorney for Legal Counsel to Make SEC Filings LIMITED POWER OF ATTORNEY FOR FILINGS UNDER THE SECURITIES ACT OF 1933, AS AMENDED AND THE SECURITIES EXCHANGE ACT OF 1934, AS A |
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| August 31, 2023 |
EX-99.3 4 ea184525ex99-3neubase.htm POWER OF ATTORNEY OF ALETA SHIFF AUTHORIZING LEGAL COUNSEL TO CAUSE THIS SCHEDULE 13D TO BE FILED WITH THE SECURITIES AND EXCHANGE COMMISSION Exhibit 99.3 Aleta Shiff Power of Attorney for Legal Counsel to Make SEC Filings LIMITED POWER OF ATTORNEY FOR FILINGS UNDER THE SECURITIES ACT OF 1933, AS AMENDED AND THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED Know a |
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| August 14, 2023 |
3………………. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents 3………………. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to. Commission File Number 001- |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| August 11, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permit |
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| August 10, 2023 |
Up to 5,394,068 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-273494 Prospectus Up to 5,394,068 shares of Common Stock Pursuant to this prospectus, the selling stockholders identified herein (the “Selling Stockholders”) are offering on a resale basis an aggregate of up to 5,394,068 shares of common stock of NeuBase Therapeutics, Inc. (the “Company,” “we,” “us” or “our”), par value $0.0001 per share (the “ |
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| August 7, 2023 |
NeuBase Therapeutics, Inc. 350 Technology Drive, Fourth Floor Pittsburgh, PA 15219 NeuBase Therapeutics, Inc. 350 Technology Drive, Fourth Floor Pittsburgh, PA 15219 August 7, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549-0406 Re: NeuBase Therapeutics, Inc. Registration Statement on Form S-1 Registration No. 333-273494 Ladies and Gentlemen: Pursuant to Rule 461 und |
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| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 28, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissio |
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| August 3, 2023 |
NeuBase Therapeutics to Explore Strategic Alternatives Exhibit 99.1 NeuBase Therapeutics to Explore Strategic Alternatives PITTSBURGH, August 3, 2023 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (“NeuBase” or the “Company”), a biotechnology company developing Stealth Editors™ to perform in vivo gene editing without triggering the immune system, today announced that its Board of Directors (the “Board”) has completed a review of the Company’s business, i |
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| August 1, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permit |
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| July 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 28, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissio |
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| July 31, 2023 |
AMendment NO. 1 to NEUBASE Therapeutics, INC. 2019 STOCK Incentive PLAN Exhibit 10.1 AMendment NO. 1 to NEUBASE Therapeutics, INC. 2019 STOCK Incentive PLAN This Amendment No. 1 to the NeuBase Therapeutics, Inc. 2019 Stock Incentive Plan (this “Amendment”) is effective as of July 28, 2023. All capitalized terms in this Amendment, to the extent not otherwise defined herein, shall have the meaning assigned to them in the Plan (as defined below). Recitals Whereas, the Bo |
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| July 28, 2023 |
As filed with the Securities and Exchange Commission on July 28, 2023 As filed with the Securities and Exchange Commission on July 28, 2023 Registration No. |
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| July 28, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) NeuBase Therapeutics, Inc. |
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| June 30, 2023 |
Exhibit 99.2 NeuBase Announces Closing of $5 Million Concurrent Registered Direct Offering and Private Placement Priced At-the-Market Under Nasdaq Rules PITTSBURGH, June 30, 2023 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (“NeuBase” or the “Company”), a biotechnology company developing Stealth Editors™ to perform in vivo gene editing without triggering the immune system, today announced the closi |
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| June 30, 2023 |
Form of Placement Agent Common Stock Purchase Warrant. Exhibit 4.5 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| June 30, 2023 |
Securities Purchase Agreement, dated June 28, 2023 (Registered Direct Offering). Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 28, 2023, between NeuBase Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditio |
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| June 30, 2023 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-254980 PROSPECTUS SUPPLEMENT (To prospectus dated April 14, 2021) 187,700 Shares of Common Stock Pre-funded Warrants to Purchase up to 390,997 Shares of Common Stock Up to 390,997 Shares of Common Stock Underlying the Pre-funded Warrants We are offering (i) 187,700 shares of our common stock, $0.0001 par value per share, and (ii) Pre-funded War |
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| June 30, 2023 |
Exhibit 99.1 NeuBase Announces $5 Million Concurrent Registered Direct Offering and Private Placement Priced At-the-Market Under Nasdaq Rules PITTSBURGH, June 28, 2023 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (“NeuBase” or the “Company”), a biotechnology company developing Stealth Editors™ to perform in vivo gene editing without triggering the immune system, today announced that it has entered |
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| June 30, 2023 |
Form of Pre-Funded Common Stock Purchase Warrant (PIPE Private Placement). Exhibit 4.4 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 28, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissio |
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| June 30, 2023 |
Form of Pre-Funded Common Stock Purchase Warrant (Registered Direct Offering). Exhibit 4.3 PRE-FUNDED COMMON STOCK PURCHASE WARRANT NEUBASE THERAPEUTICS, INC. Warrant Shares: Issue Date: June 30, 2023 Initial Exercise Date: June 30, 2023 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, |
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| June 30, 2023 |
Form of Series A Common Stock Purchase Warrant. Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| June 30, 2023 |
Form of Series B Common Stock Purchase Warrant. Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| June 30, 2023 |
293,398 Shares of Common Stock Up to $10,000,000 of Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-254980 SUPPLEMENT NO. 1 TO PROSPECTUS SUPPLEMENT DATED DECEMBER 29, 2022 (to Prospectus dated April 14, 2021) 293,398 Shares of Common Stock Up to $10,000,000 of Shares of Common Stock This Supplement No. 1 to Prospectus Supplement (this “Supplement No. 1”) amends and supplements the information in the prospectus, dated April 14, 2021 (the “Pro |
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| June 30, 2023 |
Securities Purchase Agreement, dated June 28, 2023 (PIPE Private Placement). Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 28, 2023, between NeuBase Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditio |
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| June 30, 2023 |
Registration Rights Agreement, dated June 28, 2023. Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of June 28, 2023, by and between NeuBase Therapeutics, Inc., a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securitie |
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| June 14, 2023 |
NeuBase Announces 1-for-20 Reverse Stock Split Exhibit 99.1 NeuBase Announces 1-for-20 Reverse Stock Split PITTSBURGH, June 14, 2023 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (“NeuBase” or the “Company”), a biotechnology company developing Stealth Editors™ to perform in vivo gene editing without triggering the immune system, today announced that it will effect a reverse stock split of its outstanding shares of common stock at a ratio of 1-fo |
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| June 14, 2023 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF NEUBASE THERAPEUTICS, INC. NeuBase Therapeutics, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: FIRST: The name of the Corporation is NeuBase Therapeutics, Inc. SECOND: The original Certificate of Incorporation of the Corpora |
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| June 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 14, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissio |
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| June 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QT ☐ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended Or ☒ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from October 1, 2022 to December 31, 2022. Commission File |
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| May 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 22, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 22, 2023 |
Exhibit 99.1 NEUBASE THERAPEUTICS, INC. The Future of Gene Editing is Stealth Editing™ Investor Conference Call | May 22, 2023 Safe Harbor Statement Certain statements contained in this presentation regarding matters that are not historical facts are forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and the Private Securities Litigatio |
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| May 22, 2023 |
NeuBase Announces Positive Preclinical Data Supporting the Capabilities of Stealth Editors™ Exhibit 99.2 NeuBase Announces Positive Preclinical Data Supporting the Capabilities of Stealth Editors™ - Data show that Stealth Editors™ achieve ex vivo gene editing using simple synthetic reagents to harness the cell's own high-fidelity editing machinery - Data show that Stealth Editors™ do not elicit a cell-based immunity and promise a non-immunogenic in vivo solution - Data show that Stealth |
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| May 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 12, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 11, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 11, 2023 |
3………………. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents 3………………. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to. Commission File Number 001 |
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| May 11, 2023 |
Exhibit 99.1 NeuBase Reports Business Update and Financial Results for the First Quarter of 2023 Announced oral presentations at the American Society of Gene & Cell Therapy (“ASGCT”) 26th Annual Meeting to take place on May 16-20, 2023 Company to present additional data showcasing gene editing capabilities at scientific conferences throughout remainder of 2023 PITTSBURGH, May 11, 2023 - NeuBase Th |
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| April 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 21, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 29, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 29, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 16, 2023 |
Chief Financial Officer (Principal Financial and Accounting Officer) March 16, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Jenn Do Kevin Vaughn Re: NeuBase Therapeutics, Inc. Form 10-K for Fiscal Year Ended September 30, 2022 Filed December 21, 2022 File No. 1-35963 Ladies and Gentlemen: This letter is submitted on behalf of NeuBase Therapeutics, |
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| March 6, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) NeuBase Therapeutics, Inc. |
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| March 6, 2023 |
As filed with the Securities and Exchange Commission on March 6, 2023 As filed with the Securities and Exchange Commission on March 6, 2023 Registration No. |
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| February 14, 2023 |
Exhibit 99.1 NeuBase Therapeutics Reports Business Update and Financial Results for the First Quarter of Fiscal Year 2023 PITTSBURGH, February 14, 2023 – NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (“NeuBase” or the “Company”), a biotechnology platform company Drugging the Genome™ to address disease at the base level using a new class of precision genetic medicines, today reported its financial resu |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to. Commission File Number 001-35963 |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 14, 2023 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| January 27, 2023 |
SC 13G/A 1 nbse13g-amend2.htm KTA NBSE 13G AMEND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* NeuBase Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 64132K102 (CUSIP Number) December 29, 2022 (Date of Event which Requires Filing of this Statement) Check the appropri |
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| January 27, 2023 |
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| December 29, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 28, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 29, 2022 |
EX-10.1 2 tm2233671d1ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 PURCHASE AGREEMENT PURCHASE AGREEMENT (the “Agreement”), dated as of December 28, 2022, by and between NEUBASE THERAPEUTICS, INC., a Delaware corporation (the “Company”), and ALUMNI CAPITAL LP, a Delaware limited partnership (the “Investor”). RECITALS WHEREAS, subject to the terms and conditions set forth in this Agreement, the Co |
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| December 29, 2022 |
293,398 Shares of Common Stock Up to $10,000,000 of Shares of Common Stock 424B5 1 tm2233672d1424b5.htm 424B5 Filed Pursuant to Rule 424(b)(5) Registration No. 333-254980 PROSPECTUS SUPPLEMENT (to Prospectus dated April 14, 2021) 293,398 Shares of Common Stock Up to $10,000,000 of Shares of Common Stock This prospectus supplement relates to the issuance and sale, from time to time, of up to ten million dollars ($10,000,000) in shares of the common stock, par value $0.000 |
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| December 21, 2022 |
List of Subsidiaries of NeuBase Therapeutics, Inc. Exhibit 21.1 List of Subsidiaries of NeuBase Therapeutics, Inc. 1. NeuBase Corporation (incorporated in Delaware) 2. Ohr Opco, Inc. (incorporated in Delaware) 3. Ohr Pharma, LLC (organized in Delaware) |
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| December 21, 2022 |
Exhibit 10.5 *** Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and is the type the registrant treats as confidential. Such omitted information is indicated by brackets “[***]”) in this exhibit. *** AMENDMENT #1 TO LICENSE AGREEMENT This Amendment #1 to the License Agreement (hereinafter this “Amendment” |
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| December 21, 2022 |
NeuBase Therapeutics Reports Business Update and Financial Results for Fiscal Year 2022 Exhibit 99.1 NeuBase Therapeutics Reports Business Update and Financial Results for Fiscal Year 2022 PITTSBURGH, December 21, 2022 ? NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (?NeuBase? or the ?Company?), a biotechnology platform company Drugging the Genome? to address disease at the base level using a new class of precision genetic medicines, today reported its financial results for the fiscal ye |
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| December 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 21, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number 001-35963 NEUBASE |
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| October 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 18, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 14, 2022 |
Exhibit 99.1 NeuBase Therapeutics Announces Strategic Restructuring Focused on Advancing Its Platform in Gene Editing ? Workforce reductions of ~60% and implementation of a robust cost reduction plan are expected to extend the Company?s cash runway into Q2 CY2024 ? The Company plans to maximize shareholder value by focusing R&D resources on advancement of the differentiated gene editing capabiliti |
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| October 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15 (d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 7, 2022 NeuBase Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35963 46-5622433 (State or other jurisdiction of incorporation) (Commis |
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| October 3, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 29, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Comm |
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| September 12, 2022 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 8, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| September 12, 2022 |
NeuBase Therapeutics, Inc. Outside Director Compensation Policy. Exhibit 10.1 NeuBase Therapeutics, Inc. OUTSIDE DIRECTOR COMPENSATION POLICY Most Recently Amended Effective as of September 8, 2022 NeuBase Therapeutics, Inc. (the ?Company?) believes that the granting of equity and cash compensation to its members of the Board of Directors (the ?Board,? and members of the Board, the ?Directors?) represents an effective tool to attract, retain and reward Director |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 11, 2022 |
Exhibit 99.1 NeuBase Therapeutics Reports Business Update and Financial Results for the Third Quarter of Fiscal Year 2022 ? Lead myotonic dystrophy type 1 (DM1) candidate continues to show promising preclinical data, including the pharmacokinetics (PK) and biodistribution data presented at the American Society of Gene and Cell Therapy (ASGCT) 25th Annual Meeting supporting a differentiated whole-b |
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| August 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 11, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 22, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.?? ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as pe |
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| July 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.?? ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| July 12, 2022 |
PRE 14A 1 tm2220750-1pre14a.htm PRE 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, f |
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| June 29, 2022 |
NeuBase Therapeutics Announces Promotion of Dr. William Mann to President and COO Exhibit 99.1 NeuBase Therapeutics Announces Promotion of Dr. William Mann to President and COO PITTSBURGH and CAMBRIDGE, Mass., June 29, 2022 ? NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (?NeuBase? or the ?Company?), a biotechnology platform company Drugging the Genome? to address disease at the base level using a new class of precision genetic medicines, today announced the promotion of William (B |
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| June 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 23, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissio |
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| May 12, 2022 |
Exhibit 99.1 NeuBase Therapeutics Reports Business Update and Financial Results for the Second Quarter of Fiscal Year 2022 ? Investigational New Drug (IND)-enabling studies continue to generate promising data that support further development of the company?s lead myotonic dystrophy type 1 (DM1) candidate; new preclinical data to be presented at the American Society of Gene and Cell Therapy (ASGCT) |
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| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 12, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 8, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) NeuBase Therapeutics, Inc. |
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| April 8, 2022 |
As filed with the Securities and Exchange Commission on April 8, 2022 As filed with the Securities and Exchange Commission on April 8, 2022 Registration No. |
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| March 14, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 14, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 14, 2022 |
Exhibit 99.2 NeuBase Therapeutics Presents New Preclinical Data at MDA 2022 for Its Myotonic Dystrophy Type 1 Program Demonstrating Splice Rescue, Nuclear Aggregate Resolution, and Myotonia Reversal ? A single intravenous dose of NeuBase?s Myotonic Dystrophy Type 1 (DM1) development candidate, NT-0231.F, potently rescues splicing, restores chloride channel (Clcn1) function, and durably reverses my |
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| March 14, 2022 |
Exhibit 99.1 1 NEUBASE THERAPEUTICS, INC. Drugging the Genome ? with Precision Genetic Medicines Investor Update for Myotonic Dystrophy, Type 1 (DM1) Program March 14, 2022 2 NEUBASE THERAPEUTICS, INC. Safe Harbor Statement Certain statements contained in this presentation regarding matters that are not historical facts are forward - looking statements within the meaning of Section 21E of the Secu |
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| February 14, 2022 |
NBSE / Neubase Therapeutics Inc / GREENLIGHT CAPITAL INC - AMENDMENT NO. 2 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* NeuBase Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 64132K102 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 11, 2022 |
Exhibit 99.1 NeuBase Therapeutics Reports Business Update and Financial Results for the First Quarter of Fiscal Year 2022 ? Investigational New Drug (IND)-enabling studies for the myotonic dystrophy type 1 (DM1) program development candidate continue as planned; invited to present new rodent pharmacokinetic (PK) and bioavailability data in an oral presentation at an upcoming scientific meeting; ex |
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| February 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 10, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| February 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 10, 2022 |
NeuBase Therapeutics Appoints Todd P. Branning Chief Financial Officer Exhibit 99.1 NeuBase Therapeutics Appoints Todd P. Branning Chief Financial Officer PITTSBURGH and CAMBRIDGE, Mass., Jan. 10, 2022 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) ("NeuBase" or the "Company"), a biotechnology platform company Drugging the Genome? to address disease at the base level using a new class of precision genetic medicines, announced today the appointment of Todd P. Branning as |
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| January 10, 2022 |
Exhibit 10.1 January 3, 2022 Todd Branning, MBA via email to [email protected] Re: Offer Letter of Employment Dear Mr. Branning: I am very pleased to confirm our offer to you of full-time employment with NeuBase Therapeutics, Inc. (the ?Company?) in the position of Chief Financial Officer. Your effective start date will be mutually decided, but our hope is that you are able to join the Company o |
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| January 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15 (d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 10, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| January 5, 2022 |
NeuBase Therapeutics Appoints Dr. Eric J. Ende to Board of Directors Exhibit 99.1 NeuBase Therapeutics Appoints Dr. Eric J. Ende to Board of Directors PITTSBURGH and CAMBRIDGE, Mass., Jan. 5, 2022 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) ("NeuBase" or the "Company"), a biotechnology platform company Drugging the Genome? to address disease at the base level using a new class of precision genetic medicines, announced today the appointment of Eric J. Ende, M.D., to |
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| January 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 1, 2022 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commiss |
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| December 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 23, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 23, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 23, 2021 |
NeuBase Therapeutics Reports Business Update and Financial Results for Fiscal Year 2021 Exhibit 99.1 NeuBase Therapeutics Reports Business Update and Financial Results for Fiscal Year 2021 ? Validated ability to Drug the Genome? to address both rare and common diseases without the limitations of early precision genetic medicine technologies; the Company?s delivery shuttle enables pharmacology across programs in multiple tissues, including in the brain and muscle, after subcutaneous a |
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| December 23, 2021 |
List of Subsidiaries of NeuBase Therapeutics, Inc. Exhibit 21.1 ? List of Subsidiaries of NeuBase Therapeutics, Inc. ? 1. NeuBase Corporation (incorporated in Delaware) 2. Ohr Opco, Inc. (incorporated in Delaware) 3. Ohr Pharma, LLC (organized in Delaware) |
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| October 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 22, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commis |
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| October 1, 2021 |
Exhibit 10.1 Separation Agreement and General Release In order to settle as fully as possible all known and unknown claims Sam Backenroth (?Employee?) might have against NeuBase Therapeutics, Inc. (the ?Company?) and all related parties, the Company and the Employee agree to the terms and conditions of this Separation Agreement and General Release (the ?Agreement?) as of the Effective Date. The Em |
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| October 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Comm |
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| August 27, 2021 |
Up to $50,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-254980 PROSPECTUS SUPPLEMENT (To Prospectus dated April 14, 2021) Up to $50,000,000 Shares of Common Stock We have entered into an Open Market Sale AgreementSM, or the Sales Agreement, with Jefferies LLC, or Jefferies, dated August 27, 2021, relating to the sale of shares of our common stock, $0.0001 par value per share, offered by this prospec |
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| August 27, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15 (d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 27, 2021 NeuBase Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35963 46-5622433 (State or other jurisdiction of incorporation) (Commis |
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| August 27, 2021 |
Exhibit 1.1 OPEN MARKET SALE AGREEMENTSM August 27, 2021 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: NeuBase Therapeutics, Inc., a Delaware corporation (the ?Company?), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time through Jefferies LLC, as sales agent and/or principal (the ?Agent?), shares of the Company?s comm |
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| August 19, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 18, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commiss |
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| August 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 12, 2021 |
8-K 1 tm2124930d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 10, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisd |
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| August 12, 2021 |
EX-99.1 2 tm2124930d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NeuBase Therapeutics Reports Financial Results for the Third Quarter of Fiscal Year 2021 and Recent Operating Highlights · Further demonstrated broad potential of novel genetic medicine platform with in vivo data in three diseases driven by different genetic mechanisms of disease · Presented preclinical data showing compounds enabled with N |
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| July 7, 2021 |
NeuBase Therapeutics, Inc. 308,635 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-257327 PROSPECTUS NeuBase Therapeutics, Inc. 308,635 Shares of Common Stock This prospectus relates solely to the resale from time to time by the selling stockholder listed in the section of this prospectus entitled ?Selling Stockholder? (the ?Selling Stockholder?) of up to 308,635 shares (the ?Shares?) of our common stock, par value $0.0001 pe |
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| July 2, 2021 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ? Definitive Proxy Statement ? ? |
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| July 2, 2021 |
NeuBase Therapeutics, Inc. 350 Technology Drive Pittsburgh, PA 15219 NeuBase Therapeutics, Inc. 350 Technology Drive Pittsburgh, PA 15219 July 2, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-0406 Re: NeuBase Therapeutics, Inc. Registration Statement on Form S-3, filed June 23, 2021 File No. 333-257327 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended, NeuBase Therapeutics, Inc. (the |
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| July 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement x Definitive Additional M |
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| June 23, 2021 |
As filed with the Securities and Exchange Commission on June 23, 2021 S-3 1 tm2120228d1s3.htm FORM S-3 As filed with the Securities and Exchange Commission on June 23, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NEUBASE THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation o |
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| June 23, 2021 |
Exhibit 4.5 COMMON STOCK PURCHASE WARRANT NEUBASE THERAPEUTICS, INC. Warrant Shares: Issue Date: July , 2020 Initial Exercise Date: August , 2020 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after |
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| June 8, 2021 |
Exhibit 99.2 Ultra - precision genetic medicines R&D DAY 2021 Drugging the genome to increase, decrease, or edit protein function to address base causality in disease 2 2021 NeuBase Therapeutics, Inc. All Rights Reserved CAUTIONARY STATEMENT REGARDING FORWARD - LOOKING STATEMENTS Certain statements contained in this presentation regarding matters that are not historical facts are forward - looking |
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| June 8, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 8, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 8, 2021 |
Exhibit 99.1 NeuBase Therapeutics Demonstrates Functional Rescue in Myotonic Dystrophy Type 1 Model and Allele-Selective Inhibition of KRAS Mutations to Inhibit Tumor Growth ? Data presented today at NeuBase?s R&D Day show functional rescue of myotonic dystrophy type 1 (DM1) phenotype in vivo after subcutaneous dosing; positions program to enter the clinic in CY 2022 ? Company also presented data |
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| May 25, 2021 |
8-K 1 tm2117300d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 25, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdict |
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| May 25, 2021 |
Exhibit 10.1 May 17, 2021 Kianoush Motesharei, Ph.D. via email Re: Offer Letter of Employment Dear Dr. Motesharei: I am very pleased to confirm our offer to you of full-time employment with NeuBase Therapeutics, Inc. (the ?Company?) in the position of Chief Business and Strategy Officer. Your effective start date will be mutually decided, but our hope is that you are able to join the Company on Ma |
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| May 25, 2021 |
Exhibit 99.1 NeuBase Therapeutics Appoints Dr. Kia Motesharei Chief Business and Strategy Officer Expansion of management team continues with addition of an industry leader with deep experience in business development, licensing, and strategy in the life-science industry PITTSBURGH, May 25, 2021 ? NeuBase Therapeutics, Inc. (Nasdaq: NBSE) ("NeuBase" or the "Company"), a biotechnology company accel |
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| May 20, 2021 |
Exhibit 99.1 NeuBase Therapeutics Appoints Dr. Sandra Rojas-Caro Chief Medical Officer Expansion of management team to support the Company?s advancement of its first drug candidate into clinical trials next year and growth of therapeutic pipeline PITTSBURGH, May 20, 2021 ? NeuBase Therapeutics, Inc. (Nasdaq: NBSE) ("NeuBase" or the "Company"), a biotechnology company accelerating the genetic revol |
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| May 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 17, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 20, 2021 |
Exhibit 10.1 May 15, 2021 Sandra Rojas-Caro, MD via email to [email protected] Re: Offer Letter of Employment Dear Dr. Rojas-Caro: I am thrilled to confirm our offer to you of full-time employment with NeuBase Therapeutics, Inc. (the ?Company?) in the position of Chief Medical Officer. Your effective start date will be on May 24, 2021. Your principal place of employment will be in the Boston, |
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| May 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to . Commission File Number 333-88480 NEUBASE THERAPEUTIC |
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| May 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 13, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 13, 2021 |
NeuBase Therapeutics Reports Financial Results for the Second Quarter of Fiscal Year 2021 Exhibit 99.1 NeuBase Therapeutics Reports Financial Results for the Second Quarter of Fiscal Year 2021 ? Extended cash runway into CY2023 following completion of an equity financing from leading healthcare investors generating $42.6 million in net proceeds; supports advancing the Company?s lead program into the clinic and scaling of its precision genetic medicine pipeline ? Completed acquisition o |
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| May 12, 2021 |
8-K 1 tm2115934d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdic |
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| May 12, 2021 |
NeuBase Therapeutics Appoints Gerald J. McDougall to Board of Directors Exhibit 99.1 NeuBase Therapeutics Appoints Gerald J. McDougall to Board of Directors ? Professional dealmaker operating across the healthcare continuum to bring together key partners to translate scientific breakthroughs into commercial applications for the benefit of patients and society ? Creator and guide of strategic alliances, including TGen, MMRC, and CIRM, the drivers behind large-scale tra |
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| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 29, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| April 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 21, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| April 27, 2021 |
Second Amendment to Lease Agreement, dated April 21, 2021. Exhibit 10.1 SECOND AMENDMENT TO LEASE AGREEMENT THIS SECOND AMENDMENT TO LEASE AGREEMENT (this ?Amendment?) is made as of this 21st day of April, 2021 (the ?Effective Date?), by and between 350 TECHNOLOGY DRIVE PARTNERS, LLC, a Pennsylvania limited liability company (?Landlord?), and NEUBASE THERAPEUTICS, INC., a Delaware corporation (?Tenant?). WITNESSETH: WHEREAS, Landlord and Tenant are partie |
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| April 26, 2021 |
Financial Statements and Exhibits, Other Events 8-K 1 tm2114180-18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 26, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdi |
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| April 26, 2021 |
EX-99.1 2 tm2114180d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NeuBase Therapeutics Announces Closing of Public Offering and Full Exercise of Underwriters’ Option to Purchase Additional Shares PITTSBURGH, PA, April 26, 2021 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE), (“NeuBase”), a biotechnology company accelerating the genetic revolution with a new class of precision genetic medicines, announced toda |
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| April 23, 2021 |
PROSPECTUS SUPPLEMENT (to Prospectus dated April 14, 2021) 8,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-254980 PROSPECTUS SUPPLEMENT (to Prospectus dated April 14, 2021) 8,000,000 Shares of Common Stock We are offering 8,000,000 shares of our common stock, $0.0001 par value per share, in this offering. Our common stock is listed on The Nasdaq Capital Market under the symbol “NBSE.” On April 20, 2021, the last reported sale price of our common sto |
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| April 22, 2021 |
Exhibit 1.1 NeuBase Therapeutics, Inc. 8,000,000 Shares Common Stock ($0.0001 par value per share) UNDERWRITING AGREEMENT New York, New York April 22, 2021 RBC Capital Markets, LLC Oppenheimer & Co. Inc. Chardan Capital Markets LLC As Representatives of the several Underwriters c/o RBC Capital Markets, LLC 200 Vesey Street New York, New York 10281-8098 c/o Oppenheimer & Co. Inc. 85 Broad Street, F |
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| April 22, 2021 |
Entry into a Material Definitive Agreement, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 22, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| April 22, 2021 |
NeuBase Therapeutics Announces Pricing of $40 Million Public Offering of Common Stock Exhibit 99.1 NeuBase Therapeutics Announces Pricing of $40 Million Public Offering of Common Stock PITTSBURGH, PA, April 22, 2021 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (?NeuBase?), a biotechnology company accelerating the genetic revolution with a new class of precision genetic medicines, announced today the pricing of an underwritten public offering of 8,000,000 shares of its common stock, |
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| April 21, 2021 |
SUBJECT TO COMPLETION, DATED APRIL 21, 2021 Filed Pursuant to Rule 424(b)(5) Registration No. 333-254980 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying base prospectus are not an offer to sell these securities, a |
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| April 12, 2021 |
NeuBase Therapeutics, Inc. 350 Technology Drive Pittsburgh, PA 15219 April 12, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-0406 Re: NeuBase Therapeutics, Inc. Registration Statement on Form S-3, Filed April 1, 2021 File No. 333-254980 Pursuant to Rule 461 under the Securities Act of 1933, as amended, NeuBase Therapeutics, Inc. (the ?Company?) hereby re |
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| April 1, 2021 |
S-3 1 tm2111161d1s3.htm FORM S-3 As filed with the Securities and Exchange Commission on April 1, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NeuBase Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 46-5622433 (State or other jurisdiction of inco |
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| April 1, 2021 |
Form of Indenture, between the Registrant and one or more trustees to be named Exhibit 4.4 NEUBASE THERAPEUTICS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of , 20 Debt Securities Table of Contents Page Article 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 Article 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee?s Certificate 8 Sec |
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| March 26, 2021 |
8-K 1 tm2111103d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 25, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdi |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* NeuBase Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 64132K102 (CUSIP Number) Decembner 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designat |
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| February 16, 2021 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G and/or 13D (including any and all amendments thereto) with respect to Common Stock, par value $0.0001 per share, of NeuBase Therapeutics, Inc., and further agree that this Joint |
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| February 11, 2021 |
First Amendment to Lease Agreement, dated December 28, 2020. EX-10.2 2 tm215685d1ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 FIRST AMENDMENT TO LEASE AGREEMENT THIS FIRST AMENDMENT TO LEASE AGREEMENT (this “Amendment”) is made as of this 28 day of December, 2020, by and between 350 TECHNOLOGY DRIVE PARTNERS, LLC, a Pennsylvania limited liability company (“Landlord”), and NEUBASE THERAPEUTICS, INC., a Delaware corporation (“Tenant”). WITNESSETH: WHEREAS, Landlord a |
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| February 11, 2021 |
Exhibit 99.1 NeuBase Therapeutics Reports Financial Results for the First Quarter of Fiscal Year 2021 Recently demonstrated single-dose intravenous administration of a PATrOL™-enabled compound resolves the causal genetic defect in myotonic dystrophy type 1 (DM1) in transgenic animals; Company on course to move one program into clinical development in CY2022 Plans to host an R&D day in the first ha |
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| February 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 11, 2021 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2020 Or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to . Commission File Number 333-88480 NEUBASE THERAPEU |
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| January 11, 2021 |
As filed with the Securities and Exchange Commission on January 11, 2021 Registration No. |
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| December 29, 2020 |
UNITED STATES SECURIFIES AN D EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G U nder the Securities Exchange Act of I 934 (Amendment No. I )* NexBase Therapeutics, Inc. (Name of Issuer) Common (Title of Class of Secu ri ties) 64132Kl02 (CUSI P umber) December 4, 2020 (Date of Event Which Requires Filing of this Statement) Checm the appropriate box to designate the rule pursuant to which th |
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| December 23, 2020 |
List of Subsidiaries of NeuBase Therapeutics, Inc. Exhibit 21.1 List of Subsidiaries of NeuBase Therapeutics, Inc. 1. NeuBase Corporation (incorporated in Delaware) 2. Ohr Opco, Inc. (incorporated in Delaware) 3. Ohr Pharma, LLC (organized in Delaware) |
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| December 23, 2020 |
Exhibit 99.1 NeuBase Therapeutics Reports Business Update and Financial Results for Fiscal Year 2020 Data presented throughout 2020 have validated the potential of the PATrOL™ platform to develop highly targeted therapies that increase, decrease or change causal protein function Plan to provide updates on development pipeline, including the myotonic dystrophy type 1 (DM1) and Huntington’s disease |
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| December 23, 2020 |
Exhibit 10.30 LEASE AGREEMENT BY AND BETWEEN 350 TECHNOLOGY DRIVE PARTNERS, LLC, a Pennsylvania limited liability company (“LANDLORD”) AND NEUBASE THERAPEUTICS, INC. a Delaware corporation (“TENANT”) TABLE OF CONTENTS Page ARTICLE I - LEASED PREMISES 1 1.1 Demise 1 1.2 Tenant's Pro Rata Share 2 1.3 Landlord's Work; Early Access 2 1.4 Completion of Landlord's Work and Tenant Improvements 2 ARTICLE |
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| December 23, 2020 |
Amendment No. 4 to Sublease Agreement, dated as of August 20, 2020. Exhibit 10.26 AMENDMENT NO. 4 TO SUBLEASE AGREEMENT This Amendment No. 4 to Lease Agreement (this "Amendment") is made and entered into this 20th day of August, 2020, with an effective date of October 1, 2020 (the "Effective Date"), by and between StartUptown dba Avenu ("Tenant"), and NeuBase Therapeutics Inc. ("Subtenant"). Tenant has previously amended its lease agreement with Carnegie Mellon Un |
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| December 23, 2020 |
Amendment No. 5 to Sublease Agreement, dated as of September 25, 2020. Exhibit 10.27 AMENDMENT NO. 5 TO SUBLEASE AGREEMENT This Amendment No. 5 to Lease Agreement (this "Amendment") is made and entered into this 25th day of September, 2020, with an effective date of October 1, 2020 (the “Effective Date”), by and between StartUptown dba Avenu ("Tenant"), and NeuBase Therapeutics Inc. ("Subtenant"). Tenant has previously amended its lease agreement with Carnegie Mellon |
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| December 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended September 30, 2020 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number 333-88480 NEUBASE THERAPEUTICS, INC |
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| December 23, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 23, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 16, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 16, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 16, 2020 |
Exhibit 99.2 NeuBase Therapeutics Announces Positive Preclinical In Vivo Data for PATrOL™-enabled Anti-gene for the Treatment of Myotonic Dystrophy Type 1 In vivo data after single-dose IV administration demonstrate engagement with DMPK mRNA and broad rescue of mis-splicing across key transcripts. Findings provide support for hypothesized mechanism of action of anti-gene, which is designed to not |
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| December 16, 2020 |
Exhibit 99.1 December 16, 2020 Accelerating the genetic revolution using a new class of synthetic medicines An emerging pipeline: resolution of causality in myotonic dystrophy, type 1 (DM1) via a PATrOL™ - enabled therapy Certain statements contained in this presentation regarding matters that are not historical facts are forward - looking statements within the meaning of Section 21E of the Securi |
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| December 2, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 30, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commi |
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| December 2, 2020 |
Exhibit 10.1 November 30, 2020 Curt Bradshaw, Ph.D. Re: Offer Letter of Employment Dear Dr. Bradshaw: I am very pleased to confirm our offer to you of full-time employment with NeuBase Therapeutics, Inc. (the “Company”) in the position of Chief Science Officer. Your effective start date will be mutually decided, but our hope is that you are able to join the Company on or before December 1, 2020. Y |
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| December 2, 2020 |
NeuBase Therapeutics Announces Appointment of Curt Bradshaw, Ph.D. as Chief Scientific Officer Exhibit 99.1 NeuBase Therapeutics Announces Appointment of Curt Bradshaw, Ph.D. as Chief Scientific Officer PITTSBURGH, PA – December 2, 2020 – NeuBase Therapeutics, Inc. (Nasdaq: NBSE) ("NeuBase" or the "Company"), a biotechnology company accelerating the genetic revolution using a new class of synthetic medicines, today announced the appointment of Curt Bradshaw, Ph.D., as its new Chief Scientif |
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| October 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 2, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commiss |
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| September 11, 2020 |
Financial Statements and Exhibits, Other Events 8-K 1 tm2030702d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 9, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Juri |
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| September 11, 2020 |
Outside Director Compensation Policy Exhibit 10.1 NeuBase Therapeutics, Inc. OUTSIDE DIRECTOR COMPENSATION POLICY Most Recently Amended Effective as of September 9, 2020 (the “Effective Date”) NeuBase Therapeutics, Inc. (the “Company”) believes that the granting of equity and cash compensation to its members of the Board of Directors (the “Board,” and members of the Board, the “Directors”) represents an effective tool to attract, ret |
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| August 13, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 13, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commiss |
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| August 13, 2020 |
Exhibit 99.1 NeuBase Therapeutics Reports Financial Results for the Third Fiscal Quarter of 2020 Strong Pharmacokinetic and Pharmacodynamic Data Presented in March Validate Platform and Position Company for Scalable Output of Synthetic Precision Genetic Medicines Company Continues to Progress Candidates in Huntington’s Disease (HD) and Myotonic Dystrophy (DM1) PITTSBURGH, PA, August 13, 2020 – Neu |
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| August 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 Or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to . Commission File Number 333-88480 NEUBASE THERAPEUTICS |
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| August 13, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 12, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 28, 2020 |
Exhibit 10.1 July 22, 2020 Dr. William Mann via email Re: Offer Letter of Employment Dr. William Mann: I am very pleased to confirm our offer to you of full-time employment with NeuBase Therapeutics, Inc. (the “Company”) in the position of Chief Operating Officer. Your effective start date will be mutually decided, but our hope is that you are able to join the Company on or before July 27th, 2020. |
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| July 28, 2020 |
8-K 1 tm2025871d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 22, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdic |
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| July 28, 2020 |
Exhibit 99.1 NeuBase Therapeutics Strengthens Senior Management Team with Appointment of Industry Veteran William Mann, Ph.D., MBA as Chief Operating Officer PITTSBURGH, PA – July 28, 2020 – NeuBase Therapeutics, Inc. (Nasdaq: NBSE) ("NeuBase" or the "Company"), a biotechnology company developing next-generation antisense oligonucleotide (ASO) therapies using its scalable PATrOL™ platform to addre |
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| July 1, 2020 |
DEFA14A 1 tm2023902-2defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as pe |
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| July 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State |
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| June 9, 2020 |
8-K 1 tm2022163-18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 8, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdict |
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| May 14, 2020 |
Exhibit 99.1 NeuBase Therapeutics Reports Financial Results for the Second Fiscal Quarter of 2020 - - - Announced positive preclinical data that validates the key advantages of the proprietary NeuBase peptide-nucleic acid antisense oligonucleotide (PATrOL™) platform - - - Completed a public offering with net proceeds of approximately $33.3 million in April 2020, strengthening the Company’s balance |
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| May 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 Or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to . Commission File Number 333-88480 NEUBASE THERAPEUTIC |
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| May 14, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 1, 2020 |
NBSE / NeuBase Therapeutics, Inc. / HIRSCHMAN ORIN - AMENDMENT TO FORM SC 13G Passive Investment SC 13G/A 1 nbse-sc13ga071219.htm AMENDMENT TO FORM SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Schedule 13G/A (Amendment No. 4) (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 NEUBASE THERAPEUTICS, INC . - (Name of I |
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| April 30, 2020 |
Exhibit 99.1 NeuBase Therapeutics Announces Closing of Public Offering and Full Exercise of Underwriters' Option to Purchase Additional Shares PITTSBURGH, PA, April 30, 2020 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE), a preclinical-stage biotechnology company focused on developing next generation therapies to treat rare genetic diseases caused by mutant genes, announced today the closing of its p |
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| April 30, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 30, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| April 29, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 28, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| April 29, 2020 |
5,250,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-220487 PROSPECTUS SUPPLEMENT (to Prospectus dated September 27, 2017) 5,250,000 Shares of Common Stock We are offering 5,250,000 shares of our common stock, $0.0001 par value per share, in this offering. Our common stock is listed on The Nasdaq Capital Market under the symbol “NBSE.” On April 27, 2020, the last reported sale price of our common |
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| April 29, 2020 |
Exhibit 1.1 NeuBase Therapeutics, Inc. (a Delaware corporation) 5,250,000 Shares of Common Stock UNDERWRITING AGREEMENT April 28, 2020 Oppenheimer & Co. Inc. BTIG, LLC As Representatives of the several Underwriters c/o Oppenheimer & Co. Inc. 85 Broad Street, Floor 23 New York, NY 10004 c/o BTIG, LLC 65 East 55th Street New York, NY, 10022 Ladies and Gentlemen: NeuBase Therapeutics, a Delaware corp |
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| April 29, 2020 |
NeuBase Therapeutics Announces Pricing of $31,500,000 Public Offering of Common Stock Exhibit 99.1 NeuBase Therapeutics Announces Pricing of $31,500,000 Public Offering of Common Stock PITTSBURGH, PA, April 28, 2020 - NeuBase Therapeutics, Inc. (Nasdaq: NBSE), a preclinical-stage biotechnology company focused on developing next generation therapies to treat rare genetic diseases caused by mutant genes, announced today the pricing of an underwritten public offering of 5,250,000 shar |
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| April 27, 2020 |
Subject to Completion, Dated April 27, 2020 Filed Pursuant to Rule 424(b)(5) Registration No. 333-220487 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying base prospectus are not an offer to sell these securities, a |
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| April 3, 2020 |
Exhibit 99.2 NeuBase Therapeutics Announces Positive, Preclinical Data Validating its Novel Genetic Therapy PATrOL™ Platform Demonstrates broad biodistribution, including across the blood-brain barrier into the central nervous system, and into skeletal muscle, in non-human primates (“NHPs”) after systemic administration Durable and therapeutically relevant drug concentrations achieved in NHPs afte |
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| April 3, 2020 |
THE NEXT GENERATION OF ANTISENSE THERAPIES Exhibit 99.1 THE NEXT GENERATION OF ANTISENSE THERAPIES 2 2020 NeuBase Therapeutics, Inc. All Rights Reserved CAUTIONARY STATEMENT REGARDING FORWARD - LOOKING STATEMENTS Certain statements contained in this presentation regarding matters that are not historical facts are forward - looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and the Priva |
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| April 3, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 1, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissio |
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| April 3, 2020 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 27, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Inco |
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| April 3, 2020 |
THE NEXT GENERATION OF ANTISENSE THERAPIES Exhibit 99.1 THE NEXT GENERATION OF ANTISENSE THERAPIES 2 2020 NeuBase Therapeutics, Inc. All Rights Reserved CAUTIONARY STATEMENT REGARDING FORWARD - LOOKING STATEMENTS Certain statements contained in this presentation regarding matters that are not historical facts are forward - looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and the Priva |
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| March 31, 2020 |
THE NEXT GENERATION OF ANTISENSE THERAPIES Exhibit 99.2 THE NEXT GENERATION OF ANTISENSE THERAPIES 2 2020 NeuBase Therapeutics, Inc. All Rights Reserved CAUTIONARY STATEMENT REGARDING FORWARD - LOOKING STATEMENTS Certain statements contained in this presentation regarding matters that are not historical facts are forward - looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and the Priva |
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| March 31, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 27, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| March 31, 2020 |
Exhibit 99.1 NeuBase Therapeutics Announces Positive, Preclinical Data Validating its Novel Genetic Therapy PATrOL™ Platform Demonstrates broad biodistribution, including across the blood-brain barrier into the central nervous system, and into skeletal muscle, in non-human primates (“NHPs”) after systemic administration Durable and therapeutically relevant drug concentrations achieved in NHPs afte |
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| March 26, 2020 |
NEUBASE THERAPEUTICS, INC. INDEX TO FINANCIAL STATEMENTS Exhibit 99.2 NEUBASE THERAPEUTICS, INC. INDEX TO FINANCIAL STATEMENTS Page Unaudited Balance Sheets as of December 31, 2018 (Restated) and September 30, 2018 2 Unaudited Statement of Operations for the three months ended December 31, 2018 (Restated) 3 Unaudited Statement of Stockholders Equity (Deficit) for the three months ended December 31, 2018 (Restated) 4 Unaudited Statement of Cash Flows for |
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| March 26, 2020 |
Exhibit 10.1 February 26, 2020 Shannon Logan Chief of Staff and Operations Manager, NeuBase Therapeutics, Inc. 700 Technology Drive Pittsburgh, PA 15219 Re: Confirmation of lease extension Dear Shannon, NeuBase has the option to extend its current lease at 700 Technology Drive until September 30, 2020. All terms and conditions remain the same from the current lease as amended on July 29, 2019. Ple |
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| March 26, 2020 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 2) Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 12, 2019 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incor |
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| March 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to . Commission File Number 333-88480 NEUBASE THERAPEU |
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| March 26, 2020 |
Exhibit 99.1 NeuBase Therapeutics Reports Financial Results for the First Fiscal Quarter of 2020 - - - NeuBase expects to announce pharmacokinetic data in non-human primates and in-vitro pharmacodynamic data for the PATrOL™ platform during the week of March 30th as planned PITTSBURGH, PA, March 26, 2020 – NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (“NeuBase” or the “Company”), a biotechnology compa |
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| March 26, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 26, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 19, 2020 NeuBase Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-35963 46-5622433 (State or other jurisdiction of incorporation) (Commi |
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| February 21, 2020 |
Exhibit 99.1 NeuBase Therapeutics Receives Notification of Deficiency from Nasdaq Related to Delayed Quarterly Report on Form 10-Q - - - Engaged Marcum LLP as its independent registered public accounting firm PITTSBURGH, Feb. 21, 2020 (GLOBE NEWSWIRE) - NeuBase Therapeutics, Inc. (Nasdaq: NBSE) (“NeuBase” or the “Company”) announced today that it received a standard notification letter dated Febru |
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| February 18, 2020 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 9, 2020 NeuBase Therapeutics, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35963 46-5622433 (State or Other Jurisdiction of In |
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| February 18, 2020 |
Letter from CohnReznick, LLP, dated February 18, 2020 Exhibit 16.1 February 18, 2020 Securities and Exchange Commission 100 F Street NE Washington, DC 20549 Ladies and Gentlemen: We have read the statements made by Neubase Therapeutics, Inc. (the “Company”), set forth in Item 4.01 of the Company’s Current Report on Form 8-K, dated February 13, 2020 (the “Form 8-K”). We agree with the statements concerning our Firm contained in such Item 4.01, except |
