SEC Form 4 · accession 0001144204-16-135757
Neurotrope, Inc. · NTRP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susanne Wilke
Officer — Chief Executive Officer · Director
Period of report
Nov 17, 2016
Accepted (ET)
Nov 21, 2016 · 8:54 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 17, 2016 | C | 17,242 | $0.00 | A | 67,243 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF2 | $0.58 | Nov 17, 2016 | C | 16,667 | D | — | — | Common Stock | 16,667 | 0 | D |
Explanation of responses
- F1The Reporting Person's shares of Series B Convertible Preferred Stock were automatically converted into an aggregate of 17,242 shares of common stock. This includes 575 shares received by the Reporting Person as the result of a reduction in the conversion price from $0.60 per 1/100 of one share of Series B Convertible Preferred Stock to $0.58.
- F2The Series B Convertible Preferred Stock was convertible into common stock at any time and had no expiration date. Pursuant to the Certificate of Designation, Preferences and Rights of Series B Convertible Preferred Stock, as amended, the Series B Convertible Preferred Stock converted automatically on November 17, 2016.