Neurotrope, Inc. (NTRP) Source: Neurotrope BioScience Corporate Presentation Exhibit 10. Memantine Interferes with the Effect of Bryostatin. A key observation from the phase 2 trial data was that memantine seemed to interfere with the effects of Bryostatin. This is believed to be related to the inhibition of the NMDA transporters caused by memantine, which are necessary for Bryostatin’s beneficial effects. In patients off-memantine, SIB improvement was observed throughout the observation period, including at 15 weeks (4 weeks after the last dose), this is consistent with the predicted mechanism of action as synaptic growth would produce a durable effect on cognitive function. In the on-memantine subgroup, the difference in SIB was negligible. Shown below is the mITT data at 15 weeks. Source: Neurotrope BioScience Corporate Presentation Exhibit 11. Phase 2 data at 15 Weeks, Non-Mematine. In the “completers” group that were off-mematine the delta in SIB widened to 6.36, from 5.93. Maxim Group LLC 10 Neurotrope, Inc. (NTRP) Source: Neurotrope BioScience Corporate Presentation Expansion to Other Neurodegenerative Brain Diseases Universal Memory Therapeutics. With a lack of effective therapeutics, memory disorders are increasingly becoming problem and a global crisis as lifespans are increasing. Synapses are in large part, responsible for the formation of memory and thus, therapeutic agents which target the formation of newly matured synapses and restoration of synaptic function could serve as potential “universal” therapeutics for memory 20 disorders. Bryostatin is a potential candidate for such a therapeutic due to the activation of PKCε and BDNF, which enable restoration of synapses in the Hippocampus, neurotrophin levels, and cognitive function. As such, Neurotrope is exploring multiple indications which could benefit from Bryostatin with programs in stroke, Fragile X Syndrome and Niemann-Pick Disease type C- the closest to entering the clinic. Fragile X syndrome (FXS) is the most common form of inherited intellectual disability in males and also a significant cause of intellectual disability in females. FXS is a leading mono-genetic (X-linked, mutation in FMR1 gene) cause of mental retardation. The mutation negatively affects synaptic function, plasticity, and neuronal connections, which results in a spectrum of intellectual disabilities, social anxiety, and memory problems. FXS affects one in 4,000 males and one in 8,000 females of all races and ethnic groups (National Fragile X Foundation). Delays in speech and language development are common, as are a variety of physical and behavioral characteristics, including ADD, ADHD, autism, and autistic behaviors, anxiety, and mood swings. Approximately 7% of women and 18% of men with FXS have seizures. People with FXS are affected throughout their lives. Currently, there are no known cures or approved therapies for the treatment of FXS. Patients with behavioral and mental health conditions are treated by medications that treat those conditions, such as anxiety. The FMR1 mutation alters signal processing at 21 synapses in the brain such as metabotropic glutamate receptor (mGluR) signaling. PKCε activation could restore these immature synapses to full functionality. Preclinical studies in FXR mice have shown that Bryostatin rescues the hippocampus from many of the phenotypes associated with FXS including decrease in density of presynaptic and postsynaptic membranes, increase in immature synapses, decrease in learning- 22,23 induced mature synapses, and impairment of hippocampus-dependent spatial learning and memory. Niemann-Pick Type C (NPC) is an ultra-rare, progressive and fatal disease caused by defects in lipid transformation within the cell. Although there are only 2,000-3,000 cases globally, it is likely the disease is under- and misdiagnosed. There are currently no approved treatments for the disease in the US. NPC genes (NPC1 and NPC2) code for proteins that act sequentially to release cholesterol into cells. Mutations in either of these genes cause un-esterified cholesterol and other lipids to become sequestered and impair transport to plasma membrane and endoplasmic reticulum. Lipid build up in the brain can kill cells and, over time, leads to neurological, systemic, and/or psychiatric problems, generally leading 20 Sun, Miao-Kun, et al. “Towards Universal Therapeutics for Memory Disorders.” Trends in Pharmacological Sciences, vol. 36, no. 6, 2015, pp. 384–394. 21 Lüscher C and Huber KM (2010) Group 1 mGluR-dependent synaptic long-term depression: mechanisms and implications for circuitry and disease. Neuron 65:445–459. 22 Sun, M.-K., et al. “Bryostatin-1 Restores Hippocampal Synapses and Spatial Learning and Memory in Adult Fragile X Mice.” Journal of Pharmacology and Experimental Therapeutics, vol. 349, no. 3, 2014, pp. 393–401. 23 Sun, M.-K., et al. “Rescue of Synaptic Phenotypes and Spatial Memory in Young Fragile X Mice.” Journal of Pharmacology and Experimental Therapeutics, vol. 357, no. 2, 2016, pp. 300–310. Maxim Group LLC 11 Neurotrope, Inc. (NTRP) to mortality within the first two decades of life. Bryostatin is currently under preclinical in-vivo testing at Mt. Sinai for its potential ability to correct the lipid transport defect. Bryostatin was shown to correct the defect during earlier In-vitro studies using NPC cell lines. Exhibit 12. Synapses in Memory Disorders. Synaptic loss is implicated in the majority of neurodegenerative diseases including Alzheimer's disease (AD), Ischemic Stroke, Fragile X, Traumatic Brain Injury (TBI), Parkinson’s disease (PD), Huntington’s disease (HD), frontotemporal dementia (FTD), and Alcohol-associated Dementia. Therapeutics which promote synaptic growth, such as Bryostatin or stem cells, have the potential to treat the effects of these conditions. 24 Source: Sun, et al. (2015). Bryologs. Bryostatin is a large complex marine-derived compound which requires a large amount of biomass to extract a small amount. Even with synthetic processes for production, the complexity of the compound makes it less than ideal for manufacturing. Bryologs are synthetic structural derivatives of Bryostatin which would allow for accelerated synthesis. Stanford researchers have developed a large family of Bryologs which are licensed to Neurotrope for development. Besides the advantage of improved production, Bryologs offer the ability to manage the IP lifecycle as the periods of exclusivity could be staggered for different compounds. These Bryologs could advance to clinical development for additional neurodegenerative diseases such as ischemic stroke, Fragile X Syndrome, traumatic brain injury and AD. 24 Sun, Miao-Kun, et al. “Towards Universal Therapeutics for Memory Disorders.” Trends in Pharmacological Sciences, vol. 36, no. 6, 2015, pp. 384–394. Maxim Group LLC 12 Neurotrope, Inc. (NTRP) MODELING ASSUMPTIONS 1. We assume that Bryostatin launches in the US in 2023 and the EU in 2024. 2. We assume a Population increase of 3% for year for Americans and Europeans over 60 due to on an aging population with longer life expectancies. 3. We assume that Alzheimer's maintains a prevalence of 10% of the population over 60 in the US and 7.5% in the EU. 4. We assume that only 25% of individuals with AD are diagnosed as having disease. 5. We assume pricing of $10K in the US and $7.5K in the EU with a y/y price increase of 2%. 6. We assume that EU commercialization will occur through a licensing agreement and Neurotrope receives a 15% royalty. 7. A risk adjustment of 50% is applied base on stage of development and risk associated with AD drug development. Exhibit 13. Bryostatin Alzheimer's Disease Market Model (U.S.) Bryostatin in Alzheimer's Disease (US) 2018E 2019E 2020E 2021E 2022E 2023E 2024E 2025E 2026E 2027E 2028E US Population over 60 52,884,046 54,387,865 55,934,447 57,525,008 59,160,798 60,843,103 62,573,247 64,352,590 66,182,530 68,064,507 70,000,000 Population Increase 3% 3% 3% 3% 3% 3% 3% 3% 3% 3% 3% Prevalence of Alzheimers (10%) 5,288,405 5,438,787 5,593,445 5,752,501 5,916,080 6,084,310 6,257,325 6,435,259 6,618,253 6,806,451 7,000,000 Diagnosed with Alzheimer's (25%) 1,322,101 1,359,697 1,398,361 1,438,125 1,479,020 1,521,078 1,564,331 1,608,815 1,654,563 1,701,613 1,750,000 Market Share 1.5% 3.0% 4.0% 4.5% 5.0% 5.50% Total Patients Treated 22,816 46,930 64,353 74,455 85,081 96,250 Cost of Treatment $ 10,000 $ 10,200 $ 10,404 $ 10,612 $ 10,824 $ 11,041 Increase in Cost 2% 2% 2% 2% 2% 2% Revenue ('000) $ 228,162 $ 478,685 $ 669,524 $ 790,126 $ 920,940 $ 1,062,678 Risk adjustment 50% 50% 50% 50% 50% 50% Total Revenue ('000) $ 114,081 $ 239,343 $ 334,762 $ 395,063 $ 460,470 $ 531,339 Source: Maxim Estimates Exhibit 14. Bryostatin Alzheimer's Disease Market Model (EU) Bryostatin in Alzheimer's Disease (EU) 2018E 2019E 2020E 2021E 2022E 2023E 2024E 2025E 2026E 2027E 2028E EU Population over 60 102,489,282 105,403,683 108,400,958 111,483,465 114,653,626 117,913,935 121,266,954 124,715,320 128,261,744 131,909,015 135,660,000 Population Increase 3% 3% 3% 3% 3% 3% 3% 3% 3% 3% 3% Prevalence of Alzheimers (7.5%) 7,686,696 7,905,276 8,130,072 8,361,260 8,599,022 8,843,545 9,095,022 9,353,649 9,619,631 9,893,176 10,174,500 Diagnosed with Alzheimer's (25%) 1,921,674 1,976,319 2,032,518 2,090,315 2,149,755 2,210,886 2,273,755 2,338,412 2,404,908 2,473,294 2,543,625 Market Penetration 2.0% 4.0% 5.0% 6.0% 6.5% Total Patients Treated 45,475 93,536 120,245 148,398 165,336 Cost of Treatment $ 7,500 $ 7,650 $ 7,803 $ 7,959 $ 8,118 Increase in Cost 2% 2% 2% 2% 2% Partner Revenue ('000) $ 341,063 $ 715,554 $ 938,275 $ 1,181,106 $ 1,342,234 Royalty Percentage 15% 15% 15% 15% 15% Total revenue ('000) $ 51,159 $ 107,333 $ 140,741 $ 177,166 $ 201,335 Risk adjustment 50% 50% 50% 50% 50% Total Revenue ('000) $ 25,580 $ 53,667 $ 70,371 $ 88,583 $ 100,668 Source: Maxim Estimates Maxim Group LLC 13 Neurotrope, Inc. (NTRP) VALUATION We model commercialization of Bryostatin for Alzheimer's disease in the US in 2023 and in the EU in 2024. A risk adjustment is applied to the therapeuctic models based on stage of development and clinical trial risk. A 30% discount is then applied to the Free Cash Flow, Discounted EPS, and Sum-of-the-Parts Models, which are equally weighted to derive a 12-month price target of $16. Exhibit 15. Free Cash Flow Model Average 16 Price Target 14 Year 2018 DCF Valuation Using FCF (mln): 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 units ('000) 2016A 2017A 2018E 2019E 2020E 2021E 2022E 2023E 2024E 2025E 2026E 2027E 2028E EBIT (12,924) (12,615) (14,802) (20,665) (24,620) (25,771) (28,487) 50,529 162,922 263,596 330,683 383,664 428,935 Tax Rate 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 5% 8% 10% EBIT (1-t) (12,924) (12,615) (14,802) (20,665) (24,620) (25,771) (28,487) 50,529 162,922 263,596 314,149 352,971 386,042 CapEx (3) (4) - - - - - - - - - - - Depreciation 7 4 3 3 6 6 7 7 7 8 8 9 9 Change in NWC FCF (12,920) (12,615) (14,799) (20,662) (24,614) (25,765) (28,480) 50,536 162,929 263,604 314,157 352,980 386,051 PV of FCF (21,835) (16,399) (14,799) (15,894) (14,565) (11,727) (9,972) 13,611 33,755 42,010 38,512 33,286 28,003 Discount Rate 30% Long Term Growth Rate 1% Terminal Cash Flow 1,344,522 Terminal Value YE2027 97,529 NPV 219,749 NPV-Debt Shares out ('000) 15,480 2028E NPV Per Share 14 Source: Maxim estimates Exhibit 16. Discounted-EPS Model Current Year 2018 Discount Rate and Earnings Multiple Varies, Year is Constant Year of EPS 2028 Earnings Multiple 10 18.09 5% 10% 15% 20% 25% 30% Discount Factor 30% Earnings 0 0 0 0 0 0 0 Selected Year EPS 24.94 Multiple 5 76.55 48.07 30.82 20.14 13.39 9.04 NPV 18 10 153.10 96.15 61.64 40.28 26.78 18.09 Source: Maxim estimates 15 229.65 144.22 92.47 60.42 40.17 27.13 20 306.20 192.30 123.29 80.55 53.56 36.18 25 382.75 240.37 154.11 100.69 66.94 45.22 30 459.30 288.45 184.93 120.83 80.33 54.27 35 535.85 336.52 215.76 140.97 93.72 63.31 Exhibit 17. Sum-of-the-Parts Model Discount Peak Sales LT Gr Yrs to Mkt % Success Term Value Neurotrope BioScience Rate (MM's) Bryostatin Alzheimer's (US) 1% 30% 5 70% $483 $1,666 NPV $12.17 Bryostatin Alzheimer's (EU Royalty) 1% 30% 6 50% $101 $347 NPV $1.39 Pipeline 1% 30% 6 50% $50 $172 NPV $1 Net Margin 60% MM Shrs OS (2028E) 15 Total $14 Source: Maxim estimates Maxim Group LLC 14 Neurotrope, Inc. (NTRP) Neurotrope Bioscience .: Income Statement ($000) .: YE December 31 2017A 1Q18A 2Q18E 3Q18E 4Q18E 2018E 2019E 2020E 2021E 2022E 2023E 2024E 2025E 2026E 2027E 2028E Revenue: Bryostatin in Severe Alzheimer's Disease (US) 114,081 239,343 334,762 395,063 437,447 483,035 Net revenue - - - - - - - - - - 114,081 239,343 334,762 395,063 437,447 483,035 Collaborative revenue: - - Bryostatin in Alzheimer's (EU Royalty) - - - - - - - - - - - 25,580 53,667 70,371 88,583 100,668 - - - - - - - - - - - - Total Collaborative Revenue - - - - - - - - - - - 25,580 53,667 70,371 88,583 100,668 Total Revenue - - - - - - - - - - 114,081 264,922 388,429 465,434 526,029 583,703 Expenses: Costs of Goods Sold - - - - - - - - - - 34,224 71,803 93,733 102,716 109,362 120,759 %COGS 30% 30% 28% 26% 25% 25% Research and Development 4,549 89 1,560 1,690 1,755 6,500 12,000 15,600 16,380 16,708 17,042 17,383 17,730 18,085 18,447 18,815 %R&D Selling, General and Administrative 5,456 1,122 1,384 1,500 1,557 5,768 6,056 6,359 6,677 9,011 9,461 9,935 10,431 10,953 11,500 12,075 %SG&A - Research and Development, Related Party 215 113 General and Administrative, Related Party 39 13 Stock Based Compensation, Related Party 155 113 Stock Based Compensation 2,288 563 614 665 691 2,558 2,609 2,661 2,714 2,769 2,824 2,881 2,938 2,997 3,057 3,118 Total Expenses 12,702 2,013 3,558 3,855 4,003 14,826 20,665 24,620 25,771 28,487 63,552 102,000 124,833 134,751 142,365 154,768 Operating Income (Loss) (12,702) (2,013) (3,558) (3,855) (4,003) (14,826) (20,665) (24,620) (25,771) (28,487) 50,529 162,922 263,596 330,683 383,664 428,935 - - - - - - - - - - - - - - - - - - - - - - - - Loss on Disposal of Fixed Assets (34) - - - - - - - - - - - Gain on Lease settlement 54 - - - - - - - - - - - Interest income 68 24 24 - - - - - - - - - - - - - - - - - - - - - - Total Other Income 87 24 - - - 24 - - - - - - - - - - Pretax Income (12,615) (1,989) (3,558) (3,855) (4,003) (14,802) (20,665) (24,620) (25,771) (28,487) 50,529 162,922 263,596 330,683 383,664 428,935 Taxes on income - - - - - - - - - - - - - 16,534 30,693 42,894 Tax Rate 5% 8% 10% GAAP Net Income (Loss) (12,615) (1,989) (3,558) (3,855) (4,003) (14,802) (20,665) (24,620) (25,771) (28,487) 50,529 162,922 263,596 314,149 352,971 386,042 Total comprehensive loss (12,615) (1,989) (3,558) (3,855) (4,003) (14,802) (20,665) (24,620) (25,771) (28,487) 50,529 162,922 263,596 314,149 352,971 386,042 GAAP-EPS (1.64) (0.25) (0.45) (0.49) (0.51) (1.87) (1.89) (1.89) (1.71) (1.88) 3.33 10.69 17.23 20.46 22.89 24.94 GAAP-EPS (Dil) (1.64) (0.25) (0.45) (0.49) (0.51) (1.87) (1.89) (1.89) (1.71) (1.88) 3.33 10.69 17.23 20.46 22.89 24.94 Wgtd Avg Shrs (Bas) - '000s 7,709 7,903 7,910 7,918 7,926 7,914 10,951 12,995 15,053 15,113 15,173 15,234 15,295 15,356 15,418 15,480 Wgtd Avg Shrs (Dil) - '000s 7,709 7,903 7,910 7,918 7,926 7,914 10,951 12,995 15,053 15,113 15,173 15,234 15,295 15,356 15,418 15,480 Source: Company reports and Maxim Maxim Group LLC 15 Neurotrope, Inc. (NTRP) DISCLOSURES Neurotrope, Inc. Rating History as of 05/15/2018 powered by: BlueMatrix $35 $30 $25 $20 $15 $10 $5 $0 Jul 15 Oct 15 Jan 16 Apr 16 Jul 16 Oct 16 Jan 17 Apr 17 Jul 17 Oct 17 Jan 18 Apr 18 Closing Price Target Price Maxim Group LLC Ratings Distribution As of: 05/15/18 % of Rating for which Firm % of Coverage Provided Banking Services Universe with Rating in the Last 12 months Fundamental metrics and/or identifiable catalysts exist such that we Buy 79% 36% expect the stock to outperform its relevant index over the next 12 months. Fundamental metrics are currently at, or approaching, industry averages. Hold Therefore, we expect this stock to neither outperform nor underperform 19% 19% its relevant index over the next 12 months. Fundamental metrics and/or identifiable catalysts exist such that we Sell expect the stock to underperform its relevant index over the next 12 2% 25% months. *See valuation section for company specific relevant indices I, Caroline Palomeque, attest that the views expressed in this research report accurately reflect my personal views about the subject security and issuer. Furthermore, no part of my compensation was, is, or will be directly or indirectly related to the specific recommendation or views expressed in this research report. I, Jason McCarthy, Ph.D., attest that the views expressed in this research report accurately reflect my personal views about the subject security and issuer. Furthermore, no part of my compensation was, is, or will be directly or indirectly related to the specific recommendation or views expressed in this research report. The research analyst(s) primarily responsible for the preparation of this research report have received compensation based upon various factors, including the firm’s total revenues, a portion of which is generated by investment banking activities. Maxim Group makes a market in Neurotrope, Inc. Maxim Group expects to receive or intends to seek compensation for investment banking services from Neurotrope, Inc. in the next 3 months. NTRP: For Neurotrope we use the BTK (Biotechnology Index) as the relevant index Valuation Methods NTRP: We model bryostatin commercialization in the US in 2023 and the EU in 2024. A 50% risk adjustment is applied to the therapeutic models for the US and the EU based on stage of development and time to commercialization. A 30% discount (vs 15% for an emerging growth company Maxim Group LLC 16 Neurotrope, Inc. (NTRP) and 10% for a well-established company) is applied to the Free Cash Flow, Discounted EPS, and Sum-of-the-Parts Models, which are equally weighted to derive a 12-month price target. Price Target and Investment Risks NTRP: Aside from general market and other economic risks, risks particular to our price target and rating for Neurotrope include: (1) the regulatory and clinical risk associated with product development, (2); the ability to access additional capital and the very high likelihood that company will need to raise additional capital, the terms of which may not be favorable based on the outcome of clinical data and other factors; (3) the rate and degree of progress of product development; (4) the rate of regulatory approval and timelines to potential commercialization of products. (5) Changes to reimbursement levels for future marketed tests and panels. (6) the level of success achieved in clinical trials; (7) the requirements for marketing authorization from regulatory bodies in the United States and other countries; (8) the liquidity and market volatility of the company’s equity securities; (9) regulatory and manufacturing requirements and uncertainties; (10) Product and technology developments by competitors; (11) Inability, if product(s) is approved to gain adequate market share; (12) Potential to continue to operate is an “ongoing concern” as per the company’s auditors based on several factors including the risk that if the company cannot raise sufficient capital to execute the business plan the company may have to liquidate and investors lose their investment; which could negatively impact the company. RISK RATINGS Risk ratings take into account both fundamental criteria and price volatility. Speculative – Fundamental Criteria: This is a risk rating assigned to early-stage companies with minimal to no revenues, lack of earnings, balance sheet concerns, and/or a short operating history. Accordingly, fundamental risk is expected to be significantly above the industry. Price Volatility: Because of the inherent fundamental criteria of the companies falling within this risk category, the price volatility is expected to be significant with the possibility that the investment could eventually be worthless. Speculative stocks may not be suitable for a significant class of individual investors. High – Fundamental Criteria: This is a risk rating assigned to companies having below-average revenue and earnings visibility, negative cash flow, and low market cap or public float. Accordingly, fundamental risk is expected to be above the industry. Price Volatility: The price volatility of companies falling within this category is expected to be above the industry. High-risk stocks may not be suitable for a significant class of individual investors. Medium – Fundamental Criteria: This is a risk rating assigned to companies that may have average revenue and earnings visibility, positive cash flow, and is fairly liquid. Accordingly, both price volatility and fundamental risk are expected to approximate the industry average. Low – Fundamental Criteria: This is a risk rating assigned to companies that may have above-average revenue and earnings visibility, positive cash flow, and is fairly liquid. Accordingly, both price volatility and fundamental risk are expected to be below the industry. DISCLAIMERS Some companies that Maxim Group LLC follows are emerging growth companies whose securities typically involve a higher degree of risk and more volatility than the securities of more established companies. The securities discussed in Maxim Group LLC research reports may not be suitable for some investors. 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