SEC Form 4 · accession 0001363763-17-000004
RespireRx Pharmaceuticals Inc. · RSPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arnold Lippa
Officer — Executive Chairman and CSO · Director
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 9:16 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)F1 | $3.90 | Jan 18, 2017 | J | 50,000 | D | — | Jan 18, 2017 | Common Stock | 50,000 | 0 | 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.
- F2Mr. Lippa transferred these Common Stock Options into a family trust for estate planning purposes. He is not the trustee and does not exercise voting or investment control over shares held in the trust but he is a beneficiary of the trust.