NeuroOne Insider Form 4: CEO Tax-Related Share Withholding

Rhea-AI Filing Summary

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.

Positive

• CEO retains 1,158,831 shares post-transaction, indicating sustained alignment with shareholder interests and confidence in the company.
• Transaction coded “F” denotes tax withholding rather than discretionary open-market selling, suggesting no negative signal about future prospects.

Negative

• Insider share disposition, even if small (2,458 shares), can be perceived as a short-term negative signal by some investors.

Insights

Financial Analyst

TL;DR Small tax-related share disposition; executive still holds >1.15 M shares, signaling limited impact on ownership structure.

The Form 4 reveals a routine Code F transaction by CEO David A. Rosa, involving the surrender of 2,458 shares (≈0.2 % of his stake) at $0.678 to satisfy tax obligations. Because no open-market sale occurred and the post-transaction holding remains significant, the filing does not materially change insider alignment or float. The low dollar value (<$2 k) and minimal percentage reduction suggest a neutral financial impact.

Corporate Governance Expert

TL;DR Routine Section 16 compliance; insider retains large position, maintaining governance alignment.

Code F dispositions are generally viewed as administrative rather than opportunistic. Rosa’s remaining 1.158 M shares reinforce commitment to the firm’s long-term strategy. From a governance lens, continued substantial ownership by the CEO is favorable, while the small withholding event raises no red flags. Overall, the action is not impactful to shareholder rights or control.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Rosa David A

Role CEO and President

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock	2,458	$0.678	$2K

Holdings After Transaction: Common Stock — 1,158,831 shares (Direct)

Footnotes (1)

Form 4 Insider Transactions: What Each Field Means →

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Rosa David A

(Last) (First) (Middle)

7599 ANAGRAM DR.

(Street)

EDEN PRAIRIE MN 55344

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
NEUROONE MEDICAL TECHNOLOGIES Corp [ NMTC ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO and President

3. Date of Earliest Transaction (Month/Day/Year)
06/30/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/30/2025		F		2,458	D	$0.678	1,158,831	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Exhibit 24, Power of Attorney, is attached

	/s/ Emily Johns, by Power of Attorney	07/02/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

How many NeuroOne (NMTC) shares did the CEO sell?

David A. Rosa disposed of 2,458 common shares on 06/30/2025.

What was the sale price of the NMTC shares?

The shares were valued at $0.678 each according to the Form 4 filing.

What does Transaction Code "F" mean in this NMTC Form 4?

Code F indicates shares withheld to pay taxes or exercise costs rather than an open-market sale.

How many NMTC shares does the CEO still own after the transaction?

After the disposition, Rosa directly owns 1,158,831 shares.

Does this insider sale significantly impact NMTC's ownership structure?

No. The 2,458-share disposition represents roughly 0.2 % of the CEO's stake and is considered immaterial.