SEC Form 4 · accession 0001144204-15-071030
Neurotrope, Inc. · NTRP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay M Haft
Director
Period of report
Nov 30, 2015
Accepted (ET)
Dec 15, 2015 · 5:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001513856
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 30, 2015 | C | 88,252 | $0.8385 | A | 88,252 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F2 | $0.8385 | Nov 30, 2015 | C | 74,000 | D | — | — | Common Stock | 88,252 | 0 | D |
Explanation of responses
- F1In connection with the conversion of the Issuer's Series A Convertible Preferred Stock into shares of common stock, the Reporting Person's 74,000 shares of Series A Convertible Preferred Stock were converted into an aggregate of 88,252 shares of common stock. The conversion price was reduced from $1.00 to $0.8385 due to an anti-dilution adjustment.
- F2The Series A Convertible Preferred Stock was convertible at any time and had no expiration date. The Series A Convertible Preferred Stock automatically converted into shares of common stock on November 30, 2015, upon the consent of the holders of at least a majority of the then outstanding shares of Series A Convertible Preferred Stock.
Remarks
Exhibit List- Exhibit 24 - Power of Attorney