SEC Form 4 · accession 0001213900-18-011213
Citius Pharmaceuticals, Inc. · CTXR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard L Mazur
Officer — Executive Chairman · Director · 10% Owner
Period of report
Aug 13, 2018
Accepted (ET)
Aug 15, 2018 · 5:07 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 | 3,137,255 | $1.275 | A | 6,855,595 | 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 StockF2,F4 | $1.15 | Aug 13, 2018 | A | 3,137,255 | A | — | Aug 14, 2023 | Common Stock | 3,137,255 | 3,137,255 | D |
| Options to Purchase Common StockF1 | $3.45 | holding | — | — | — | — | Sep 13, 2027 | Common Stock | 40,000 | 40,000 | D |
| Warrant to Purchase Common StockF2 | $6.15 | holding | — | — | — | — | Jun 12, 2019 | Common Stock | 19,614 | 19,614 | D |
| Warrant to Purchase Common StockF2 | $9.90 | holding | — | — | — | — | Sep 30, 2019 | Common Stock | 3,171 | 3,171 | D |
| Warrant to Purchase Common StockF2 | $9.90 | holding | — | — | — | — | Jan 8, 2020 | Common Stock | 4,984 | 4,984 | D |
| Warrant to Purchase Common StockF2 | $7.50 | holding | — | — | — | — | Aug 18, 2020 | Common Stock | 35,211 | 35,211 | D |
| Warrant to Purchase Common StockF2 | $7.50 | holding | — | — | — | — | Nov 2, 2020 | Common Stock | 20,783 | 20,783 | D |
| Warrant to Purchase Common StockF2 | $7.50 | holding | — | — | — | — | Nov 20, 2020 | Common Stock | 20,664 | 20,664 | D |
| Warrant to Purchase Common StockF2 | $7.50 | holding | — | — | — | — | Jan 8, 2021 | Common Stock | 13,679 | 13,679 | D |
| Warrant to Purchase Common StockF2 | $7.50 | holding | — | — | — | — | Mar 14, 2021 | Common Stock | 4,210 | 4,210 | D |
| Warrant to Purchase Common StockF2 | $6.15 | holding | — | — | — | — | Mar 15, 2021 | Common Stock | 18,106 | 18,106 | D |
| Warrant to Purchase Common StockF2 | $4.125 | holding | — | — | — | — | Aug 8, 2022 | Common Stock | 421,400 | 421,400 | D |
| Warrant to Purchase Common StockF2 | $4.125 | holding | — | — | — | — | Aug 8, 2022 | Common Stock | 11,000 | 11,000 | D |
| Options to Purchase Common StockF3 | $6.75 | holding | — | — | — | — | Sep 12, 2024 | Common Stock | 220,000 | 220,000 | D |
| Warrant to Purchase Common StockF2 | $4.63 | holding | — | — | — | — | Jun 19, 2023 | Common Stock | 106,553 | 106,553 | D |
| Warrant to Purchase Common StockF2 | $2.86 | holding | — | — | — | — | Sep 29, 2023 | Common Stock | 167,504 | 167,504 | D |
Explanation of responses
- F1One-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, provided the Reporting Person continues to serve as a member of the Company's Board of Directors as of each such vesting date.
- F2The warrant is fully vested and exercisable immediately.
- F3The option vested as to 40% of the shares of the Company's common stock on September 12, 2014 and 15% of the shares on each of September 12, 2015, March 12 and September 12, 2016 and September 12, 2017.
- F4The purchase price of the warrants was included in the purchase price of the common stock reported in Table I.