SEC Form 4 · accession 0001213900-18-011211
Citius Pharmaceuticals, Inc. · CTXR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Myron Z Holubiak
Officer — President and CEO · Director · 10% Owner
Period of report
Aug 13, 2018
Accepted (ET)
Aug 15, 2018 · 5:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001506251
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 13, 2018 | P | 784,314 | $1.275 | A | 1,304,196 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1,F2 | $1.15 | Aug 13, 2018 | A | 784,314 | A | — | Aug 14, 2023 | Common Stock | 784,314 | 784,314 | D |
| Options to Purchase Common StockF3 | $8.10 | holding | — | — | — | — | Oct 1, 2025 | Common Stock | 26,667 | 26,667 | D |
| Options to Purchase Common StockF4 | $3.45 | holding | — | — | — | — | Sep 13, 2027 | Common Stock | 40,000 | 40,000 | D |
| Warrant to Purchase Common StockF1 | $6.21 | holding | — | — | — | — | Jun 12, 2019 | Common Stock | 19,615 | 19,615 | D |
Explanation of responses
- F1The warrant is fully vested and exercisable immediately.
- F2The purchase price of the warrants was included in the purchase price of the common stock reported in Table I.
- F3The option granted vested and became exercisable as follows: the option to purchase 2,667 shares of common stock of the Company (the "Common Stock") vested on October 1, 2015, and the balance of the option to purchase shares of Common Stock vested in twelve (12) equal installments commencing on December 31, 2015.
- F4One-third of the shares of the Company's common stock underlying the grant vest on the first anniversary of the vesting commencement date, September 13, 2018. The remaining shares of the Company's common stock underlying the grant vest in equal monthly installments at the end of each month for two years following the initial vest.