0001363763-16-000028.txt : 20160620 0001363763-16-000028.hdr.sgml : 20160620 20160620202543 ACCESSION NUMBER: 0001363763-16-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160616 FILED AS OF DATE: 20160620 DATE AS OF CHANGE: 20160620 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: 161723192 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 2016-06-16 0 0000849636 RespireRx Pharmaceuticals Inc. RSPI 0001573202 Margolis Jeff Eliot C/O RESPIRERX PHARMACEUTICALS INC. 126 VALLEY ROAD, SUITE C GLEN ROCK NJ 07452 1 1 0 0 VP, Treasurer & Secretary Common Stock 2016-06-16 4 J 0 5000000 0 D 10134944 D Common Stock 2016-06-16 4 J 0 5000000 0 A 5000000 I By Spouse Common Stock Warrants (right to buy) 0.021 2016-06-16 4 J 0 787363 0 D 2020-09-30 Common Stock 787363 787363 D Common Stock Warrants (right to buy) 0.021 2016-06-16 4 J 0 787363 0 A 2020-09-30 Common Stock 787363 787363 I By Spouse Common Stock Options (to purchase shares of Common Stock) 0.0227 2016-06-16 4 J 0 9000000 0 D 2021-03-31 Common Stock 9000000 15000000 D Common Stock Options (to purchase shares of Common Stock) 0.0227 2016-06-16 4 J 0 9000000 0 A 2021-03-31 Common Stock 9000000 9000000 I By Spouse Common Stock Options (to purchase shares of Common Stock) 0.0197 2016-06-16 4 J 0 3000000 0 D 2022-08-18 Common Stock 3000000 7000000 D Common Stock Options (to purchase shares of Common Stock) 0.0197 2016-06-16 4 J 0 3000000 0 A 2022-08-18 Common Stock 3000000 3000000 I By Spouse Common Stock Options (to purchase shares of Common Stock) 0.025 2016-06-16 4 J 0 5000000 0 D 2022-06-30 Common Stock 5000000 10000000 D Common Stock Options (to purchase shares of Common Stock) 0.025 2016-06-16 4 J 0 5000000 0 A 2022-06-30 Common Stock 5000000 5000000 I By Spouse Common Stock Options (to purchase shares of Common Stock) 0.05 2016-06-16 4 J 0 1363637 0 D 2019-07-17 Common Stock 1363637 1363636 D Common Stock Options (to purchase shares of Common Stock) 0.05 2016-06-16 4 J 0 1363637 0 A 2019-07-17 Common Stock 1363637 1363637 I By Spouse All dispositions and acquisitions set forth on this Form 4 reflect estate planning transactions. In each case, securities jointly held by Mr. Margolis and his spouse are being transferred so they are held in the spouse's name only. These Warrants were acquired by Mr. Margolis and his spouse 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. 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, and are all currently vested and exercisable. 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. /s/ Jeff E. Margolis 2016-06-20