SEC Form 4 · accession 0001363763-15-000018
RespireRx Pharmaceuticals Inc. · RSPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S J Manuso
Officer — President and CEO · Director · 10% Owner
Period of report
Aug 28, 2015
Accepted (ET)
Aug 31, 2015 · 4:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000849636
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 28, 2015 | P$0 | 11,887,779 | — | A | 11,887,779 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (right to buy)F1 | — | Aug 28, 2015 | P | 23,775,558 | A | Aug 28, 2015 | Sep 30, 2020 | Common Stock | 23,775,558 | 23,775,558 | D |
| Common Stock Options (to purchase shares of Common Stock)F2 | $0.0197 | holding | — | — | — | — | Aug 18, 2025 | Common Stock | 5,081,300 | 5,081,300 | D |
| Common Stock Options (to purchase shares of Common Stock)F2 | $0.0197 | holding | — | — | — | — | Aug 18, 2025 | Common Stock | 80,000,000 | 80,000,000 | D |
Explanation of responses
- F1The reported securities are included within 11,887,779 units purchased by the reporting person for $0.02103 per unit. Each unit consists of one share of Common Stock and one warrant to purchase two additional shares of Common Stock with an exercise price of $0.02103 for each share of Common Stock to be issued upon exercise of the warrant.
- F2These Common Stock Options vest in three installments: 50 percent on August 18, 2015 (the grant date), 25 percent on February 18, 2016, and 25 percent on August 18, 2016.