SEC Form 4 · accession 0001213900-18-012199

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

Sep 4, 2018

Accepted (ET)

Sep 6, 2018 · 4:14 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	holding	—	—		—	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
Options to Purchase Common Stock^F5	$1.62	Sep 4, 2018	A	150,000	A	—	Sep 4, 2028	Common Stock	150,000	150,000	D
Options to Purchase Common Stock^F1	$3.45	holding	—	—	—	—	Sep 13, 2027	Common Stock	40,000	40,000	D
Warrant to Purchase Common Stock^F2	$6.15	holding	—	—	—	—	Jun 12, 2019	Common Stock	19,614	19,614	D
Warrant to Purchase Common Stock^F2	$9.90	holding	—	—	—	—	Sep 30, 2019	Common Stock	3,171	3,171	D
Warrant to Purchase Common Stock^F2	$9.90	holding	—	—	—	—	Jan 8, 2020	Common Stock	4,984	4,984	D
Warrant to Purchase Common Stock^F2	$7.50	holding	—	—	—	—	Aug 18, 2020	Common Stock	35,211	35,211	D
Warrant to Purchase Common Stock^F2	$7.50	holding	—	—	—	—	Nov 2, 2020	Common Stock	20,783	20,783	D
Warrant to Purchase Common Stock^F2	$7.50	holding	—	—	—	—	Nov 20, 2020	Common Stock	20,664	20,664	D
Warrant to Purchase Common Stock^F2	$7.50	holding	—	—	—	—	Jan 8, 2021	Common Stock	13,679	13,679	D
Warrant to Purchase Common Stock^F2	$7.50	holding	—	—	—	—	Mar 14, 2021	Common Stock	4,210	4,210	D
Warrant to Purchase Common Stock^F2	$6.15	holding	—	—	—	—	Mar 15, 2021	Common Stock	18,106	18,106	D
Warrant to Purchase Common Stock^F2	$4.125	holding	—	—	—	—	Aug 8, 2022	Common Stock	421,400	421,400	D
Warrant to Purchase Common Stock^F2	$4.125	holding	—	—	—	—	Aug 8, 2022	Common Stock	11,000	11,000	D
Options to Purchase Common Stock^F3	$6.75	holding	—	—	—	—	Sep 12, 2024	Common Stock	220,000	220,000	D
Warrant to Purchase Common Stock^F2	$4.63	holding	—	—	—	—	Jun 19, 2023	Common Stock	106,553	106,553	D
Warrant to Purchase Common Stock^F2	$2.86	holding	—	—	—	—	Sep 29, 2023	Common Stock	167,504	167,504	D
Warrant to Purchase Common Stock^F2,F4	$1.15	holding	—	—	—	—	Aug 14, 2023	Common Stock	3,137,255	3,137,255	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.
F5One-third of the shares of the Company's common stock underlying the grant vest on each of the one-year, two-year and three-year anniversary of the vesting commencement date, September 4, 2018, provided that the Reporting Person provides continuous services to the Company as of each such vesting date.