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SC 13G Filing
NeuBase Therapeutics (NBSE) SC 13GOhr Pharmaceutical Inc
Filed: 14 Feb 14, 12:00am
Ohr Pharmaceutical, Inc. |
(Name of Issuer) |
Common Stock, $0.0001 par value per share |
(Title of Class of Securities) |
67778H200 |
(CUSIP Number) |
December 31, 2013 |
(Date of Event Which Requires Filing of this Statement) |
o | Rule 13d-1(b) |
o | Rule 13d-1(c) |
x | Rule 13d-1(d) |
1 | NAME OF REPORTING PERSON South Ferry #2, L.P. | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER - 0 - | |
6 | SHARED VOTING POWER 1,401,1471 | ||
7 | SOLE DISPOSITIVE POWER - 0 - | ||
8 | SHARED DISPOSITIVE POWER 1,401,1471 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,401,1471 | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% | ||
12 | TYPE OF REPORTING PERSON PN |
1 | NAME OF REPORTING PERSON WM Group Holdings, LLC | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER - 0 - | |
6 | SHARED VOTING POWER 84,788 | ||
7 | SOLE DISPOSITIVE POWER - 0 - | ||
8 | SHARED DISPOSITIVE POWER 84,788 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 84,788 | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Less than 1% | ||
12 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSON Aaron Wolfson | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION USA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 125,0021 | |
6 | SHARED VOTING POWER 1,401,1472 | ||
7 | SOLE DISPOSITIVE POWER 125,0021 | ||
8 | SHARED DISPOSITIVE POWER 1,401,1472 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,526,1491, 2 | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.6% | ||
12 | TYPE OF REPORTING PERSON IN |
1 | NAME OF REPORTING PERSON Abraham Wolfson | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION USA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER - 0 - | |
6 | SHARED VOTING POWER 1,401,1471 | ||
7 | SOLE DISPOSITIVE POWER - 0 - | ||
8 | SHARED DISPOSITIVE POWER 1,401,1471 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,401,1471 | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% | ||
12 | TYPE OF REPORTING PERSON IN |
1 | NAME OF REPORTING PERSON Morris Wolfson | ||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) o | |
3 | SEC USE ONLY | ||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION USA | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER - 0 - | |
6 | SHARED VOTING POWER 1,401,1471 | ||
7 | SOLE DISPOSITIVE POWER - 0 - | ||
8 | SHARED DISPOSITIVE POWER 1,401,1471 | ||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,401,1471 | ||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ | |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% | ||
12 | TYPE OF REPORTING PERSON IN |
Item 1(a). | Name of Issuer: |
Item 1(b). | Address of Issuer’s Principal Executive Offices: |
Item 2(a). | Name of Person Filing: |
Item 2(b). | Address of Principal Business Office or, if none, Residence: |
Item 2(c). | Citizenship: |
Item 2(d). | Title of Class of Securities: |
Item 2(e). | CUSIP Number: |
Item 3. | If this statement is filed pursuant to Section 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
/x/ | Not Applicable |
(a) | / / | Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). |
(b) | / / | Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). |
(c) | / / | Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). |
(d) | / / | Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
(e) | / / | Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E). |
(f) | / / | Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F). |
(g) | / / | Parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G). |
(h) | / / | Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). |
(i) | / / | Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3). |
(j) | / / | Non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J). |
(k) | / / | Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). |
Item 4. | Ownership. |
(a) | Amount beneficially owned: |
1,401,147 Shares 1 |
(b) | Percent of class: |
7.0% |
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote |
0 Shares |
(ii) | Shared power to vote or to direct the vote |
1,401,147 Shares 1 |
(iii) | Sole power to dispose or to direct the disposition of |
0 Shares |
(iv) | Shared power to dispose or to direct the disposition of |
1,401,147 Shares 1 |
__________________________________________________________________ |
1 Includes 303,179 Shares issuable upon exercise of currently exercisable warrants. |
(a) | Amount beneficially owned: |
84,788 Shares |
(b) | Percent of class: |
Less than 1% |
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote |
0 Shares |
(ii) | Shared power to vote or to direct the vote |
84,788 Shares |
(iii) | Sole power to dispose or to direct the disposition of |
0 Shares |
(iv) | Shared power to dispose or to direct the disposition of |
84,788 Shares |
(a) | Amount beneficially owned: |
1,526,149 Shares 1, 2 |
(b) | Percent of class: |
7.6% |
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote |
125,002 Shares 1 |
(ii) | Shared power to vote or to direct the vote |
1,401,147 Shares 2 |
(iii) | Sole power to dispose or to direct the disposition of |
125,002 Shares 1 |
(iv) | Shared power to dispose or to direct the disposition of |
1,401,147 Shares 2 |
____________________________________________________________________ |
1 Includes 84,788 Shares held by WM Group and 26,943 Shares issuable upon exercise of currently exercisable warrants. |
2 Includes 303,179 Shares issuable upon exercise of currently exercisable warrants. |
(a) | Amount beneficially owned: |
1,401,147 Shares 1 |
(b) | Percent of class: |
7.0% |
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote |
0 Shares |
(ii) | Shared power to vote or to direct the vote |
1,401,147 Shares 1 |
(iii) | Sole power to dispose or to direct the disposition of |
0 Shares |
(iv) | Shared power to dispose or to direct the disposition of |
1,401,147 Shares 1 |
_________________________________________________________________ |
1 Includes 303,179 Shares issuable upon exercise of currently exercisable warrants. |
(a) | Amount beneficially owned: |
1,401,147 Shares 1 |
(b) | Percent of class: |
7.0% |
(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote |
0 Shares |
(ii) | Shared power to vote or to direct the vote |
1,401,147 Shares 1 |
(iii) | Sole power to dispose or to direct the disposition of |
0 Shares |
(iv) | Shared power to dispose or to direct the disposition of |
1,401,147 Shares 1 |
_________________________________________________________________ |
1 Includes 303,179 Shares issuable upon exercise of currently exercisable warrants. |
Item 5. | Ownership of Five Percent or Less of a Class. |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. |
Item 8. | Identification and Classification of Members of the Group. |
Item 9. | Notice of Dissolution of Group. |
Item 10. | Certifications. |
Dated: February 14, 2014 | SOUTH FERRY #2, L.P. | ||
By: | /s/ Morris Wolfson | ||
Name: | Morris Wolfson | ||
Title: | Portfolio Manager |
WM GROUP HOLDINGS, LLC | |||
By: | /s/ Aaron Wolfson | ||
Name: | Aaron Wolfson | ||
Title: | Manager |
/s/ Aaron Wolfson | |
AARON WOLFSON |
/s/ Abraham Wolfson | |
ABRAHAM WOLFSON |
/s/ Morris Wolfson | |
MORRIS WOLFSON |