SEC Form 4 · accession 0001573202-17-000013

RespireRx Pharmaceuticals Inc. · RSPI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 9, 2017

Accepted (ET)

Dec 12, 2017 · 7:54 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.

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	$1.45	Dec 9, 2017	J	38,114	A	—	Dec 9, 2022	Common Stock	38,114	38,114	D
Common Stock Options (to purchase shares of Common Stock)^F2	$2.00	holding	—	—	—	—	Jun 30, 2022	Common Stock	25,000	25,000	D
Common Stock Options (to purchase shares of Common Stock)^F3	$3.90	holding	—	—	—	—	Jan 18, 2022	Common Stock	25,000	25,000	D
Common Stock Options (to purchase shares of Common Stock)^F4,F5	$7.3775	holding	—	—	—	—	Mar 31, 2021	Common Stock	30,770	30,770	D
Common Stock Options (to purchase shares of Common Stock)^F4,F6	$6.396	holding	—	—	—	—	Aug 18, 2022	Common Stock	9,231	9,231	D
Common Stock Options (to purchase shares of Common Stock)^F4,F7	$8.125	holding	—	—	—	—	Jun 30, 2022	Common Stock	6,154	6,154	D

F1On December 9, 2017, Ms. MacFarlane forgave all of the accrued but unpaid directors fees to which she was entitled as of September 30, 2017, an aggregate of $55,000. On that date, the Company granted to Ms. MacFarlane options to purchase 38,114 shares of the Company's common stock, with a black-scholes value of $1.44 per option and an aggregate value of $55,000. These Common Stock Options vested upon issuance.
F2These Common Stock Options vested upon issuance.
F3These 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.
F4The 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.
F5These 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.
F6These 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.
F7The 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.