Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
NeuroBo Pharmaceuticals, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
64132R107
(CUSIP Number)
December 30, 2019
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☒ Rule 13d-1(c)
☐ Rule 13d-1(d)
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*
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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
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The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the
liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP NO. 64132R107
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Page 2 of 5 Pages
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1.
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Names of Reporting Persons
Dong-A ST Co., Ltd.
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2.
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Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☐
b. ☒
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
Republic of Korea
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
With
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5.
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Sole Voting Power
2,880,612
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6.
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Shared Voting Power
0
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7.
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Sole Dispositive Power
2,880,612
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8.
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Shared Dispositive Power
0
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
2,880,612
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10.
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Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐
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11.
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Percent of Class Represented By Amount in Row (9)
18.5%
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12.
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Type of Reporting Person (See Instructions)
CO
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CUSIP NO. 64132R107
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Page 3 of 5 Pages
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Item 1(a).
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Name of Issuer:
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NeuroBo Pharmaceuticals, Inc.
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Item 1(b).
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Address of the Issuer’s Principal Executive Offices:
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177 Huntington Avenue
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Suite 1700
Boston, Massachusetts 02115
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Item 2(a).
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Name of Person Filing
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This statement is filed by Dong-A ST Co., Ltd.
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Item 2(b).
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Address of Principal Business Office or, if None, Residence:
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The address of the principal business office is 64, Cheonho-daero, Dongdaemun-gu, Seoul, Republic of Korea.
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Item 2(c).
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Citizenship:
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Dong-A ST Co., Ltd. is a South Korean corporation.
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Item 2(d).
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Title of Class of Securities:
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Common Stock
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Item 2(e).
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CUSIP Number:
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64132R107
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Item 3.
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If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
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This Item 3 is not applicable.
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Item 4.
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Ownership:
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Item 4(a).
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Amount Beneficially Owned:
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2,880,612 shares of Common Stock
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Item 4(b).
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Percent of Class:
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18.5% of the total number of shares of Common Stock outstanding.
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Item 4(c).
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Number of shares as to which such person has:
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CUSIP NO. 64132R107
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Page 4 of 5 Pages
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Dong-A ST Co., Ltd.
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(i)
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Sole power to vote or direct the vote
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2,880,612
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(ii)
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Shared power to vote or to direct the vote
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0
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(iii)
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Sole power to dispose or to direct the disposition of
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2,880,612
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(iv)
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Shared power to dispose or to direct the disposition of
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0
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Item 5.
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Ownership of Five Percent or Less of a Class:
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following
[_].
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person:
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None.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:
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This Item 7 is not applicable.
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Item 8.
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Identification and Classification of Members of the Group:
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This Item 8 is not applicable.
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Item 9.
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Notice of Dissolution of Group:
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This Item 9 is not applicable.
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Item 10.
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Certification:
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §
240.14a-11.
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CUSIP NO. 64132R107
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Page 5 of 5 Pages
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
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Date: January 9, 2020
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DONG-A ST CO., LTD.
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By:
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/s/ Dae-Sik Eom |
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Name: Dae-Sik Eom
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Title: Chief Executive Officer
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