SEC Form 4 · accession 0001363763-17-000007
RespireRx Pharmaceuticals Inc. · RSPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard David Purcell Jr.
Officer — SVP - Research and Development
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 9:43 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 | 40,000 | A | — | Jan 18, 2022 | Common Stock | 40,000 | 40,000 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F3 | $7.3775 | holding | — | — | — | — | Mar 31, 2021 | Common Stock | 61,539 | 61,539 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F4 | $6.396 | holding | — | — | — | — | Aug 18, 2022 | Common Stock | 9,231 | 9,231 | D |
| Common Stock Options (to purchase shares of Common Stock)F2,F5 | $8.125 | holding | — | — | — | — | Jun 30, 2022 | Common Stock | 6,154 | 6,154 | 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 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.
- F5The 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.