SEC Form 3 · accession 0001144204-16-117386

Neurotrope, Inc. · NTRP

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

Reporting owner

Joshua Silverman

Director

Period of report

Aug 4, 2016

Accepted (ET)

Aug 8, 2016 · 8:21 pm EDT

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 Stock^F1	holding	—	—		—	225,000	I	See footnote

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	holding	—	—	—	—	—	Common Stock	2,000,000	—	I
Series A Warrant^F1,F3	$0.80	holding	—	—	—	—	Nov 13, 2020	Common Stock	2,000,000	—	I
Series B Warrant^F1,F4	$0.80	holding	—	—	—	—	Nov 13, 2016	Common Stock	2,000,000	—	I
Series C Warrant^F1,F6	$1.25	holding	—	—	—	—	Nov 13, 2020	Common Stock	2,000,000	—	I
Series D Warrant^F1,F7	$1.00	holding	—	—	—	—	—	Common Stock	2,000,000	—	I
Series E Warrant^F1,F8	$1.50	holding	—	—	—	—	—	Common Stock	2,000,000	—	I
Series B Preferred Stock^F5,F2	$0.00	holding	—	—	—	—	—	Common Stock	333,333	—	I
Series A Warrant^F5,F3	$0.80	holding	—	—	—	—	Nov 13, 2020	Common Stock	333,333	—	I
Series B Warrant^F5,F4	$0.80	holding	—	—	—	—	Nov 13, 2016	Common Stock	333,333	—	I
Series C Warrant^F5,F6	$1.25	holding	—	—	—	—	Nov 13, 2020	Common Stock	333,333	—	I
Series D Warrant^F5,F7	$1.00	holding	—	—	—	—	—	Common Stock	333,333	—	I
Series E Warrant^F5,F8	$1.50	holding	—	—	—	—	—	Common Stock	333,333	—	I

Explanation of responses

F1Securities are held indirectly through Iroquois Master Fund (the "Fund"). Mr. Silverman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
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 $0.60 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 $0.60 per share with an expiration date of one year from the date of issuance, one share of common stock, subject to adjustment.
F5Securities are held indirectly through American Capital Management, LLC ("ACM"). Mr. Silverman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F6Each Series C Warrant allows the reporting person to acquire, at an exercise price of $1.25 per share with an expiration date five years from the date of issuance, one share of common stock, subject to adjustment.
F7Each 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.
F8Each 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.