SEC Form 4 · accession 0001573202-17-000004
RespireRx Pharmaceuticals Inc. · RSPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arnold Lippa
Officer — Executive Chairman & CSO · Director
Period of report
Jun 30, 2017
Accepted (ET)
Jul 5, 2017 · 8:45 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 | 50,000 | A | — | Jun 30, 2022 | common stock | 50,000 | 50,000 | D |
| Common Stock Options (to purchase shares of Common Stock)F1 | $2.00 | Jun 30, 2017 | J | 50,000 | D | — | Jun 30, 2022 | common stock | 50,000 | 0 | D |
Explanation of responses
- F1These Common Stock Options vested upon issuance.
- 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.