SEC Form 4 · accession 0001363763-16-000019
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
Period of report
Feb 4, 2016
Accepted (ET)
Apr 4, 2016 · 4:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000849636
Table I — non-derivative securities
No Table I lines on this filing.
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 | $0.02 | Feb 4, 2016 | J | 2,630,000 | A | Feb 4, 2016 | Feb 4, 2019 | Common Stock | 2,630,000 | 2,630,000 | D |
| Common Stock Options (to purchase shares of Common Stock)F2 | $0.0227 | Mar 31, 2016 | A | 26,500,000 | A | — | Mar 31, 2021 | Common Stock | 26,500,000 | 26,500,000 | D |
| Common Stock Warrants (right to buy)F3 | — | holding | — | — | — | Aug 28, 2015 | Sep 30, 2020 | Common Stock | 23,775,558 | 23,775,558 | D |
| Common Stock Options (to purchase shares of Common Stock)F4 | $0.0197 | holding | — | — | — | — | Aug 18, 2025 | Common Stock | 5,081,300 | 5,081,300 | D |
| Common Stock Options (to purchase shares of Common Stock)F4 | $0.0197 | holding | — | — | — | — | Aug 18, 2025 | Common Stock | 80,000,000 | 80,000,000 | D |
Explanation of responses
- F1The reported securities were acquired from the Registrant in connection with a loan by the reporting person to the Registrant.
- F2These Common Stock Options vest in four equal installments: 25 percent on March 31, 2016 (the grant date), 25 percent on June 30, 2016, 25 percent on September 30, 2016, and 25 percent on December 31, 2016.
- F3The 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.
- F4These 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.