NBSE NeuBase Therapeutics

Filed: 8 Jun 21, 2:01pm






Washington, D.C. 20549






Current Report

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of report (Date of earliest event reported): June 8, 2021


NeuBase Therapeutics, Inc.

(Exact Name of Registrant as Specified in Its Charter)





(State or Other Jurisdiction
of Incorporation)
File Number)
(I.R.S. Employer
Identification No.)


350 Technology Drive, Pittsburgh, PA15219
(Address of Principal Executive Offices)(Zip Code)


 (646) 450-1790 
(Registrant's Telephone Number, Including Area Code)


(Former Name or Former Address, if Changed Since
Last Report)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:


Title of each classTrading Symbol(s)Name of each exchange on which
Common Stock, par value $0.0001 per shareNBSEThe Nasdaq Stock Market LLC


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR § 230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR § 240.12b-2).


Emerging growth company ¨


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨







Item 7.01Regulation FD Disclosure.


Announcement of Preclinical Data


On June 8, 2021, NeuBase Therapeutics, Inc. (the “Company”) announced positive data from preclinical studies being conducted on the Company’s myotonic dystrophy type 1 and Huntington’s disease programs, and unveiled a new oncology program. A copy of the press release related to these data is furnished herewith as Exhibit 99.1 to this Current Report on Form 8-K (this “Current Report”). In connection with such announcement, the Company conducted a webcasted research and development day event to discuss these data with accompanying presentation materials. The presentation materials are furnished herewith as Exhibit 99.2. A replay of the event will be archived and accessible at for approximately thirty days following the conference call.


The information contained in this Item 7.01 of this Current Report, including Exhibits 99.1 and 99.2, is being furnished pursuant to Item 7.01 and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, and it shall not be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or under the Exchange Act, whether made before or after the date hereof, except as expressly set forth by specific reference in such filing to this Item 7.01 of this Current Report.


Item 9.01Financial Statements and Exhibits.


(d) Exhibits


Exhibit No. Description
99.1 Press Release, dated June 8, 2021
99.2 Presentation Materials for Research and Development Day event held on June 8, 2021







Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date: June 8, 2021By:/s/ Sam Backenroth
  Sam Backenroth
  Chief Financial Officer