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