0001363763-15-000009.txt : 20150820
0001363763-15-000009.hdr.sgml : 20150820
20150820164854
ACCESSION NUMBER: 0001363763-15-000009
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141105
FILED AS OF DATE: 20150820
DATE AS OF CHANGE: 20150820
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CORTEX PHARMACEUTICALS INC/DE/
CENTRAL INDEX KEY: 0000849636
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 330303583
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 126 VALLEY ROAD
STREET 2: SUITE C
CITY: GLEN ROCK
STATE: NJ
ZIP: 07452
BUSINESS PHONE: (201) 444-4947
MAIL ADDRESS:
STREET 1: 126 VALLEY ROAD
STREET 2: SUITE C
CITY: GLEN ROCK
STATE: NJ
ZIP: 07452
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Margolis Jeff Eliot
CENTRAL INDEX KEY: 0001573202
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16467
FILM NUMBER: 151066731
MAIL ADDRESS:
STREET 1: C/O AURORA CAPITAL LLC
STREET 2: 17 PARK AVENUE, #201
CITY: NEW YORK
STATE: NY
ZIP: 10016
4/A
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4/A
2014-11-05
2015-07-06
0
0000849636
CORTEX PHARMACEUTICALS INC/DE/
CORX
0001573202
Margolis Jeff Eliot
C/O CORTEX PHARMACEUTICALS, INC.
126 VALLEY ROAD, SUITE C
GLEN ROCK
NJ
07452
1
1
0
0
VP, Treasurer & Secretary
Warrants (right to buy)
0.035
2014-11-05
4
J
0
118374
0
A
2014-11-05
2015-09-15
Common Stock
118374
118374
D
Warrants (right to buy)
0.035
2014-12-09
4
J
0
1500
0
A
2014-12-09
2015-09-15
Common Stock
1500
119874
D
Warrants (right to buy)
0.035
2014-12-31
4
J
0
77500
0
A
2014-12-31
2015-09-15
Common Stock
77500
197374
D
Warrants (right to buy)
0.035
2015-02-02
4
J
0
310000
0
A
2015-02-02
2015-09-15
Common Stock
310000
507374
D
Common Stock Options (to purchase shares of Common Stock)
0.025
2015-06-30
4
A
0
15000000
0
A
2022-06-30
Common Stock
15000000
15000000
D
Common Stock Options (to purchase shares of Common Stock)
0.05
2019-07-17
Common Stock
5000000
5000000
D
These Warrants were acquired by Mr. Margolis in his capacity as President of Aurora Capital LLC, which served as placement agent in the Company's convertible note and warrant offering, and represent his share of the Placement Agent Warrants awarded in that transaction at each closing.
Mr. Margolis holds these securities jointly with his spouse.
These Common Stock Options vest in three installments: 50 percent on June 30, 2015, 25 percent on September 30, 2015, and 25 percent on December 31, 2015.
These Common Stock Options vested in three equal installments on July 17, 2014, September 30, 2014 and December 31, 2014, and are all currently vested and exercisable.
Mr. Margolis holds 50% these securities jointly with his spouse.
/s/ Jeff Eliot Margolis
2015-08-20