0001213900-21-052678.txt : 20211013 0001213900-21-052678.hdr.sgml : 20211013 20211013172547 ACCESSION NUMBER: 0001213900-21-052678 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211011 FILED AS OF DATE: 20211013 DATE AS OF CHANGE: 20211013 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOLUBIAK MYRON Z CENTRAL INDEX KEY: 0001199080 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38174 FILM NUMBER: 211321956 MAIL ADDRESS: STREET 1: C/O CITIUS PHARMACEUTICALS, INC. STREET 2: 63 GREAT ROAD CITY: MAYNARD STATE: MA ZIP: 01754 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Citius Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001506251 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 273425913 STATE OF INCORPORATION: NV FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 11 COMMERCE DRIVE STREET 2: 1ST FLOOR CITY: CRANFORD STATE: NJ ZIP: 07016 BUSINESS PHONE: (908) 967-6676 MAIL ADDRESS: STREET 1: 11 COMMERCE DRIVE STREET 2: 1ST FLOOR CITY: CRANFORD STATE: NJ ZIP: 07016 FORMER COMPANY: FORMER CONFORMED NAME: Trail One, Inc. DATE OF NAME CHANGE: 20110314 FORMER COMPANY: FORMER CONFORMED NAME: TrailOne, Inc. DATE OF NAME CHANGE: 20101119 4 1 ownership.xml X0306 4 2021-10-11 0 0001506251 Citius Pharmaceuticals, Inc. CTXR 0001199080 HOLUBIAK MYRON Z C/O CITIUS PHARMACEUTICALS, INC. 11 COMMERCE DRIVE, 1ST FLOOR CRANFORD NJ 07016 1 1 0 0 President and CEO Common Stock 1992243 D Warrant to Purchase Common Stock 1.15 2023-08-14 Common Stock 784314 784314 D Options to Purchase Common Stock 8.1 2025-10-01 Common Stock 26667 26667 D Options to Purchase Common Stock 3.45 2027-09-13 Common Stock 40000 40000 D Options to Purchase Common Stock 1.62 2028-09-04 Common Stock 150000 150000 D Warrant to Purchase Common Stock 1.42 2024-04-05 Common Stock 129450 129450 D Warrant to Purchase Common Stock 0.77 2024-09-27 Common Stock 558597 558597 D Options to Purchase Common Stock 0.67 2029-10-08 Common Stock 175000 175000 D Options to Purchase Common Stock 1.01 2030-10-06 Common Stock 200000 200000 D Options to Purchase Common Stock 2.00 2031-07-22 Common Stock 300000 300000 D Options to Purchase Common Stock 2.00 2031-07-22 Common Stock 10000 10000 I See Footnote Options to Purchase Common Stock 2.04 2021-10-11 4 A 0 650000 0 A 2031-10-11 Common Stock 650000 650000 D Options to Purchase Common Stock 2.04 2021-10-11 4 A 0 15000 0 A 2031-10-11 Common Stock 15000 15000 I See Footnote The warrant is fully vested and exercisable immediately. The purchase price of the warrants was included in the purchase price of the common stock reported in Table I. The option granted vested and became exercisable as follows: the option to purchase 2,667 shares of common stock of the Company (the "Common Stock") vested on October 1, 2015, and the balance of the option to purchase shares of Common Stock vested in twelve (12) equal installments commencing on December 31, 2015. One-third of the shares of the Company's common stock underlying the grant vest on the first anniversary of the vesting commencement date, September 13, 2018. The remaining shares of the Company's common stock underlying the grant vest in equal monthly installments at the end of each month for two years following the initial vest. One-third of the shares of the Company's common stock underlying the grant vest on each of the one-year, two-year and three-year anniversary of the vesting commencement date, September 4, 2018, provided that the Reporting Person provides continuous services to the Company as of each such vesting date. The options were granted on October 8, 2019. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date. The options were granted on October 6, 2020. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date. The options were granted on July 22, 2021. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date. The options are held by the Reporting Person's daughter. The Reporting Person disclaims beneficial ownership in these shares. The options were granted on October 11, 2021. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date. /s/ Alexander M. Donaldson, by power of attorney 2021-10-13