0001363763-16-000021.txt : 20160404 0001363763-16-000021.hdr.sgml : 20160404 20160404172920 ACCESSION NUMBER: 0001363763-16-000021 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150828 FILED AS OF DATE: 20160404 DATE AS OF CHANGE: 20160404 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RespireRx Pharmaceuticals Inc. 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 FORMER COMPANY: FORMER CONFORMED NAME: CORTEX PHARMACEUTICALS INC/DE/ DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Margolis Jeff Eliot CENTRAL INDEX KEY: 0001573202 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16467 FILM NUMBER: 161551973 MAIL ADDRESS: STREET 1: C/O AURORA CAPITAL LLC STREET 2: 17 PARK AVENUE, #201 CITY: NEW YORK STATE: NY ZIP: 10016 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-08-28 0 0000849636 RespireRx Pharmaceuticals Inc. RSPI 0001573202 Margolis Jeff Eliot C/O RESPIRERX PHARMACEUTCALS INC. 126 VALLEY ROAD, SUITE C GLEN ROCK NJ 07452 1 1 0 0 VP, Treasurer & Secretary Common Stock 2015-09-14 4 X 0 507374 A 15618816 D Common Stock 2015-09-14 4 S 0 483872 D 15134944 D Warrants (right to buy) 0.021 2015-08-28 4 J 0 325022 0 A 2020-09-30 Common Stock 325022 325022 D Warrants (right to buy) 0.035 2015-09-14 4 X 0 507374 D 2015-09-15 Common Stock 507374 0 D Warrants (right to buy) 0.021 2015-09-28 4 J 0 309975 0 A 2020-09-30 Common Stock 309975 634997 D Warrants (right to buy) 0.021 2015-11-02 4 J 0 939729 0 A 2020-09-30 Common Stock 939729 1574726 D Common Stock Options (to purchase shares of Common Stock) 0.0227 2016-03-31 4 A 0 24000000 0 A 2021-03-31 Common Stock 24000000 24000000 D Common Stock Options (to purchase shares of Common Stock) 0.0197 2022-08-18 Common Stock 10000000 10000000 D Common Stock Options (to purchase shares of Common Stock) 0.025 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 On September 14, 2015, the reporting person exercised warrants to purchase 507,374 shares of the registrant's common stock for $0.035 per share. The reporting person paid the exercise price on a cashless basis, resulting in the registrant withholding 483,872 of the warrant shares to pay the exercise price and issuing the reporting person the remaining 23,502 shares. 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. The Warrants were exercisable on September 14, 2015. 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 unit offering with each unit consisting of one share of common stock and warrants to purchase two additional shares of common stock, and represent his share of the Placement Agent Warrants awarded at each closing of that transaction. The warrants are currently exercisable. These Common Stock Options vest 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. Mr. Margolis holds these securities jointly with his spouse. These Common Stock Options vest 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. These 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. 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 2,727,273 of these securities jointly with his spouse. /s/ Jeff Eliot Margolis 2016-04-04