SEC Form 4 · accession 0001363763-17-000003
RespireRx Pharmaceuticals Inc. · RSPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert N Weingarten
Officer — EVP & Chief Financial Officer · Director
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 9:10 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 | 50,000 | A | — | Jan 18, 2022 | Common Stock | 50,000 | 50,000 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F3 | $7.3775 | holding | — | — | — | — | Mar 31, 2021 | Common Stock | 73,847 | 73,847 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F4 | $6.396 | holding | — | — | — | — | Aug 18, 2022 | Common Stock | 30,770 | 30,770 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F5 | $8.125 | holding | — | — | — | — | Jun 30, 2022 | Common Stock | 46,154 | 46,154 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F6 | $16.25 | holding | — | — | — | — | Jul 17, 2019 | Common Stock | 15,385 | 15,385 | 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, and are all currently vested and exercisable.
- F4These Common Stock Options vested 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, and are all currently vested and exercisable.
- F5These Common Stock Options vest 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.