SEC Form 4 · accession 0001363763-17-000002
RespireRx Pharmaceuticals Inc. · RSPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S J Manuso
Officer — Preident & CEO · Director
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 9:00 pm EST
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 Options (to purchase shares of Common Stock)F1 | $3.90 | Jan 18, 2017 | A | 75,000 | A | — | Jan 18, 2017 | Common Stock | 75,000 | 75,000 | D |
| Common Stock Warrants (right to buy)F2 | $4.875 | holding | — | — | — | Apr 7, 2016 | Sep 30, 2020 | Common Stock | 36,578 | 36,578 | D |
| Common Stock Warrants (right to buy)F2 | $6.50 | holding | — | — | — | Feb 4, 2016 | Feb 4, 2019 | Common Stock | 8,093 | 8,093 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F3 | $7.3775 | holding | — | — | — | — | Mar 31, 2021 | Common Stock | 81,539 | 81,539 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F4 | $6.396 | holding | — | — | — | — | Aug 18, 2025 | Common Stock | 15,634 | 15,634 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F4 | $6.396 | holding | — | — | — | — | Aug 18, 2025 | Common Stock | 246,154 | 246,154 | D |
Explanation of responses
- F1These Common Stock Options vest in three installments: 25 percent on January 18, 2017 (the grant date), 25 percent on March 31, 2017, and 50 percent on June 30, 2017.
- F2The exercise price and number of shares of these securities have been adjusted to reflect the Company's 325-to-1 reverse stock split effective September 1, 2016.
- F3These Common Stock Options vested 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 vested 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.