SEC Form 4 · accession 0001477932-17-004617
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 15, 2017
Accepted (ET)
Sep 19, 2017 · 9:44 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 | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF1 | $3.45 | Sep 15, 2017 | A | 40,000 | A | — | 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 StockF3 | $4.125 | holding | — | — | — | Feb 8, 2018 | Aug 8, 2022 | Common Stock | 421,400 | 421,400 | D |
| Warrant to Purchase Common StockF4 | $4.125 | holding | — | — | — | Feb 8, 2018 | Aug 8, 2022 | Common Stock | 11,000 | 11,000 | D |
| Options to Purchase Common StockF5 | $6.75 | holding | — | — | — | — | Sep 12, 2024 | Common Stock | 220,000 | 220,000 | 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.
- 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.
- F4On 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.
- F5The 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. The option was issued pursuant to the Company's 2014 Stock Incentive Plan.