Neuroone Med Technologies Corp SEC Filings

Bleichroeder LP, Bleichroeder Holdings LLC and Andrew Gundlach disclosed beneficial ownership of 4,000,000 common shares of NeuroOne Medical Technologies, representing 8.03% of the company’s common stock. The filing states Bleichroeder LP is an investment adviser and that these shares are held in the ordinary course of business for its clients.

The reporting persons report sole voting and sole dispositive power over the 4,000,000 shares and no shared voting or dispositive power. The filing also notes the stake was not acquired to change or influence control of the issuer and that client beneficiaries retain rights to dividends and sale proceeds.

NeuroOne Medical Technologies reported growing product sales and improved liquidity for the period ended June 30, 2025. Product revenue increased to $1.70 million in the quarter and $6.36 million year-to-date, while the Company also recognized $3.0 million of license revenue from an amended distribution agreement with Zimmer, which was recorded in the nine months ended June 30, 2025. Total assets were $10.82 million and cash and cash equivalents rose to $8.04 million, up from $1.46 million at September 30, 2024, largely reflecting an April 2025 equity financing that generated approximately $8.24 million of net proceeds.

Despite revenue gains, NeuroOne reported a net loss of $1.50 million for the quarter and $1.99 million for the nine months, with an accumulated deficit of $76.99 million. The Company reduced its warrant liability from $2.14 million to $1.04 million, and notes continued concentration risk with one customer accounting for the majority of product sales. Management states available cash plus anticipated Zimmer-related revenue and planned expense reductions should fund operations for at least twelve months, but additional financing may be required thereafter.

Sio Capital Management, LLC reported beneficial ownership of 3,523,663 shares of NeuroOne Medical Technologies Corp common stock, equal to 7.07% of the outstanding shares (based on 49,817,835 shares outstanding as disclosed by the company). Sio holds shared voting and shared dispositive power over these shares and reports no sole voting or dispositive power.

The filing states Sio acts as a registered investment adviser to funds that are the record owners of the shares and includes a disclosure that the GP and Michael Castor may be deemed to control the voting and dispositive decisions, although such beneficial ownership is expressly disclaimed. The filing also certifies the securities are held in the ordinary course of business and not to influence control of the issuer.

NeuroOne Medical Technologies Corp. (NMTC) – insider Form 4 filed 07/02/2025

CEO, President and Director David A. Rosa reported one transaction dated 06/30/2025. The filing shows a disposition of 2,458 common shares at $0.678 per share under Transaction Code “F,” which, per SEC definitions, denotes shares withheld to cover taxes or exercise costs rather than an open-market sale. After the transaction, Rosa’s direct ownership stands at 1,158,831 shares.

The sale amounts to roughly 0.2 % of his reported direct holdings, indicating that the executive continues to hold a substantial equity stake and remains materially aligned with shareholders.

Form 4 filing overview: On 06/23/2025, NeuroOne Medical Technologies Corp. (NMTC) director Jeffrey S. Mathiesen received an option to purchase 50,000 shares of common stock at an exercise price of $0.662 per share. The option vests in twelve equal monthly installments over one year and carries an expiration date of 06/23/2035. Following the grant, Mathiesen now beneficially owns 50,000 derivative securities directly.

No open-market purchases or sales of common shares were reported, and no changes to previously held positions were disclosed. The transaction appears to be standard board compensation designed to align the director’s interests with shareholders while creating only modest potential dilution.