SEC Form 4 · accession 0001573202-17-000003
RespireRx Pharmaceuticals Inc. · RSPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katie MacFarlane
Director
Period of report
Jun 30, 2017
Accepted (ET)
Jul 5, 2017 · 7:57 pm EDT
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 | $2.00 | Jun 30, 2017 | A | 25,000 | A | — | Jun 30, 2022 | common stock | 25,000 | 25,000 | D |
| Common Stock Options (to purchase shares of Common Stock)F2 | $3.90 | holding | — | — | — | — | Jan 17, 2022 | common stock | 25,000 | 25,000 | D |
| Common Stock Options (to purchase shares of Common Stock)F3,F4 | $7.3775 | holding | — | — | — | — | Mar 31, 2021 | common stock | 30,770 | 30,770 | D |
| Common Stock Options (to purchase shares of Common Stock)F3,F5 | $6.396 | holding | — | — | — | — | Aug 18, 2022 | common stock | 9,231 | 9 | D |
| Common Stock Options (to purchase shares of Common Stock)F3,F6 | $8.125 | holding | — | — | — | — | Jun 30, 2022 | common stock | 6,154 | 6,154 | D |
Explanation of responses
- F1These Common Stock Options vested upon issuance.
- F2These Common Stock Options vested 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, and are all currently vested.
- F3The 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.
- F4These 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.
- F5These 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.
- F6The 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.