SEC Form 4 · accession 0001477932-17-004226
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 24, 2017
Accepted (ET)
Aug 28, 2017 · 9:07 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 24, 2017 | P | 11,000 | $2.68 | A | 3,337,730 | 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 | $4.125 | Aug 24, 2017 | P | 11,000 | A | Feb 8, 2018 | Aug 8, 2022 | Common Stock | 11,000 | 11,000 | 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 StockF3 | $4.125 | holding | — | — | — | Feb 8, 2018 | Aug 8, 2022 | Common Stock | 421,400 | 421,400 | D |
| Options to Purchase Common StockF4 | $6.75 | holding | — | — | — | — | Sep 12, 2024 | Common Stock | 220,000 | 220,000 | D |
Explanation of responses
- F1On August 24, 2017, the Report Person purchased a five-year warrant to purchase 11,000 shares of the Company's common stock at an exercise price of $4.125 per share. The warrant is fully vested and exercisable six months from August 8, 2017.
- F2The warrant is fully vested and exercisable immediately.
- F3On August 8, 2017, the Reporting Person purchased a five-year warrant to purchase 421,400 shares of the Company's common stock at an exercise price of $4.125 per share. The warrant is fully vested and exercisable six months from August 8, 2017.
- F4The option vests 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. The option was issued pursuant to the Company's 2014 Stock Incentive Plan.