SEC Form 4 · accession 0001144204-15-066388

Neurotrope, Inc. · NTRP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Paul E. Freiman

Officer — See Remarks · Director

Period of report

Nov 13, 2015

Accepted (ET)

Nov 17, 2015 · 3:32 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001513856

Table I — non-derivative securities

No Table I lines on this filing.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Preferred Stock^F1,F2	$0.00	Nov 13, 2015	P	1,667	A	—	—	Common Stock	166,667	166,667	I
Series A Warrant^F1,F3	$0.80	Nov 13, 2015	P	166,667	A	—	Nov 13, 2020	Common Stock	166,667	166,667	I
Series B Warrant^F1,F4	$0.80	Nov 13, 2015	P	166,667	A	—	Nov 13, 2020	Common Stock	166,667	166,667	I
Series C Warrant^F1,F5	$1.25	Nov 13, 2015	P	166,667	A	—	Nov 13, 2020	Common Stock	166,667	166,667	I
Series D Warrant^F1,F6	$1.00	Nov 13, 2015	P	166,667	A	—	—	Common Stock	166,667	166,667	I
Series E Warrant^F1,F7	$1.50	Nov 13, 2015	P	166,667	A	—	—	Common Stock	166,667	166,667	I

Explanation of responses

F1The reported securities are included within units with a purchase price of $0.60 per unit, each unit consisting of one one-hundredth of a share of Series B Preferred Stock, one Series A Warrant, one Series B Warrant, one Series C Warrant, one Series D Warrant and one Series E Warrant.
F2The Series B Preferred Stock may be converted at any time by the holder at an initial conversion ratio of one share of Common Stock per one one-hundredth share of Series B Preferred Stock and have no expiration date.
F3Each Series A Warrant allows the reporting person to acquire, at an exercise price of $0.80 per share with an expiration date five years from the date of issuance, one share of Common Stock subject to adjustment.
F4Each Series B Warrant allows the reporting person to acquire, at an exercise price of $0.80 per share with an expiration date of one year from the date of issuance, one share of Common Stock subject to adjustment.
F5Each Series C Warrant allows the reporting person to acquire, at an exercise price of $1.25 per share with an expiration date of five years from the date of issuance, one share of Common Stock subject to adjustment.
F6Each Series D Warrant will be exercisable only if and to the extent that the Series B Warrants are exercised and will expire on the five year anniversary of the date that the Series B Warrant is initially exercised.
F7Each Series E Warrant will be exercisable only if and to the extent that the Series C Warrants are exercised and will expire on the five year anniversary of the date that the Series C Warrant is initially exercised.

Remarks

Chairman of the Board of Directors