SEC Form 4 · accession 0001144204-15-066392
Neurotrope, Inc. · NTRP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Weinstein
Officer — See Remarks
Period of report
Nov 13, 2015
Accepted (ET)
Nov 17, 2015 · 3:33 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 StockF1,F2 | $0.00 | Nov 13, 2015 | P | 417 | A | — | — | Common Stock | 41,667 | 41,667 | D |
| Series A WarrantF1,F3 | $0.80 | Nov 13, 2015 | P | 41,667 | A | — | Nov 13, 2020 | Common Stock | 41,667 | 41,667 | D |
| Series B WarrantF1,F4 | $0.80 | Nov 13, 2015 | P | 41,667 | A | — | Nov 13, 2016 | Common Stock | 41,667 | 41,667 | D |
| Series C WarrantF1,F5 | $1.25 | Nov 13, 2015 | P | 41,667 | A | — | Nov 13, 2020 | Common Stock | 41,667 | 41,667 | D |
| Series D WarrantF1,F6 | $1.00 | Nov 13, 2015 | P | 41,667 | A | — | — | Common Stock | 41,667 | 41,667 | D |
| Series E WarrantF1,F7 | $1.50 | Nov 13, 2015 | P | 41,667 | A | — | — | Common Stock | 41,667 | 41,667 | D |
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
Chief Financial Officer, Executive Vice President, Treasurer and Secretary