SEC Form 4 · accession 0001363763-16-000028

RespireRx Pharmaceuticals Inc. · RSPI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — VP, Treasurer & Secretary · Director

Period of report

Jun 16, 2016

Accepted (ET)

Jun 20, 2016 · 8:25 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 Stock^F1	Jun 16, 2016	J	5,000,000	$0.00	D	10,134,944	D
Common Stock^F1	Jun 16, 2016	J	5,000,000	$0.00	A	5,000,000	I	By Spouse

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,F2	$0.021	Jun 16, 2016	J	787,363	D	—	Sep 30, 2020	Common Stock	787,363	787,363	D
Common Stock Warrants (right to buy)^F1,F2	$0.021	Jun 16, 2016	J	787,363	A	—	Sep 30, 2020	Common Stock	787,363	787,363	I
Common Stock Options (to purchase shares of Common Stock)^F1,F3	$0.0227	Jun 16, 2016	J	9,000,000	D	—	Mar 31, 2021	Common Stock	9,000,000	15,000,000	D
Common Stock Options (to purchase shares of Common Stock)^F1,F3	$0.0227	Jun 16, 2016	J	9,000,000	A	—	Mar 31, 2021	Common Stock	9,000,000	9,000,000	I
Common Stock Options (to purchase shares of Common Stock)^F1,F4	$0.0197	Jun 16, 2016	J	3,000,000	D	—	Aug 18, 2022	Common Stock	3,000,000	7,000,000	D
Common Stock Options (to purchase shares of Common Stock)^F1,F4	$0.0197	Jun 16, 2016	J	3,000,000	A	—	Aug 18, 2022	Common Stock	3,000,000	3,000,000	I
Common Stock Options (to purchase shares of Common Stock)^F1,F5	$0.025	Jun 16, 2016	J	5,000,000	D	—	Jun 30, 2022	Common Stock	5,000,000	10,000,000	D
Common Stock Options (to purchase shares of Common Stock)^F1,F5	$0.025	Jun 16, 2016	J	5,000,000	A	—	Jun 30, 2022	Common Stock	5,000,000	5,000,000	I
Common Stock Options (to purchase shares of Common Stock)^F1,F6	$0.05	Jun 16, 2016	J	1,363,637	D	—	Jul 17, 2019	Common Stock	1,363,637	1,363,636	D
Common Stock Options (to purchase shares of Common Stock)^F1,F6	$0.05	Jun 16, 2016	J	1,363,637	A	—	Jul 17, 2019	Common Stock	1,363,637	1,363,637	I

F1All dispositions and acquisitions set forth on this Form 4 reflect estate planning transactions. In each case, securities jointly held by Mr. Margolis and his spouse are being transferred so they are held in the spouse's name only.
F2These Warrants were acquired by Mr. Margolis and his spouse in his capacity as President of Aurora Capital LLC, which served as placement agent in the Company's unit offering with each unit consisting of one share of common stock and warrants to purchase two additional shares of common stock, and represent his share of the Placement Agent Warrants awarded at each closing of that transaction. The warrants are currently exercisable.
F3These 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.
F4These Common Stock Options vest in four equal installments: 25 percent on December 31, 2015, 25 percent on March 31, 2016, 25 percent on June 30, 2016, and 25 percent on September 30, 2016.
F5These Common Stock Options vested in three installments: 50 percent on June 30, 2015, 25 percent on September 30, 2015, and 25 percent on December 31, 2015, and are all currently vested and exercisable.
F6These Common Stock Options vested in three equal installments on July 17, 2014, September 30, 2014 and December 31, 2014, and are all currently vested and exercisable.