Form D · Biotechnology
NeuBase Therapeutics, Inc.
Pittsburgh, PA · CIK 0001173281
Offering snapshot reported Jul 7, 2023 · SEC filing
- Reported sold
- $5M Offering amount: $5M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 28, 2023 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jul 7, 2023 | Initial | $5,000,002 | No comparison | 1 | SEC filing |
| Dec 29, 2014 | Initial | $50,000 | No comparison | 1 | SEC filing |
| Jun 4, 2014 | Initial | $10,180,224 | No comparison | 1 | SEC filing |
| Jan 16, 2014 | Initial | $569,581 | No comparison | 3 | SEC filing |
| Oct 11, 2013 | Initial | $376,915 | No comparison | 3 | SEC filing |
| Jun 4, 2009 | Initial | $1,005,000 | No comparison | Not reported | SEC filing |
| Apr 3, 2009 | Initial | $500,000 | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $482K
- Finders' fees
- $0
- Form D file number
- 021-486254
The total offering amount herein reflects aggregate purchase price received by the Company in connection with the sale by the Company of the securities to the investor in a concurrent registered direct offering and the aforementioned private placements.
The placement agent received $482,389.00 and warrants to purchase up to 136,187 shares of common stock exercisable at $3.2125 per share. Upon exercise of certain warrants, the Company will pay the placement agent an additional cash fee and warrants.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 375 |
Source: Form D, filed Jul 7, 2023. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| June Almenoff | Director |
| Sam Backenroth | Executive |
| Todd Branning | Executive |
| Dov Goldstein | Director |
| Ira Greenstein | Director |
| Orin Hirschman | Director |
| Andrew Limpert | Director, Executive |
| Gerald Mc Dougall | Director |
| Franklyn Prendergast | Director |
| Eric Richman | Director |
| Thomas Riedhammer | Director |
| Dietrich Stephan | Director, Executive |
| Irach Taraporewala | Director, Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
350 Technology Drive
Pittsburgh, PA, 15219
Pittsburgh, PA, 15219