0001573202-17-000005.txt : 20170705 0001573202-17-000005.hdr.sgml : 20170705 20170705214927 ACCESSION NUMBER: 0001573202-17-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170705 DATE AS OF CHANGE: 20170705 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: 17950759 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 2017-06-30 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 and Secretary Common Stock Options (to purchase shares of Common Stock) 2 2017-06-30 4 A 0 30000 0 A 2022-06-30 common stock 30000 30000 I By Trust Common Stock Options (to purchase shares of Common Stock) 2 2017-06-30 4 A 0 20000 0 A 2022-06-30 common stock 20000 20000 I By Spouse Common Stock Options (to purchase shares of Common Stock) 3.9 2022-01-18 common stock 35000 35000 I By Trust Common Stock Options (to purchase shares of Common Stock) 3.9 2022-01-18 common stock 15000 15000 I By Trust Common Stock Warrants (right to buy) 6.9225 2020-09-30 common stock 2423 2423 I By Trust Common Stock Warrants (right to buy) 6.9225 2020-09-30 common stock 2423 2423 I By Trust Common Stock Options (to purchase shares of Common Stock) 7.3775 2021-03-31 common stock 40000 40000 I By Trust Common Stock Options (to purchase shares of Common Stock) 7.3775 2021-03-31 common stock 6154 6154 I By Trust Common Stock Options (to purchase shares of Common Stock) 7.3775 2021-03-31 common stock 21539 21539 I By Trust Common Stock Options (to purchase shares of Common Stock) 7.3775 2021-03-31 common stock 6154 6154 I By Trust Common Stock Options (to purchase shares of Common Stock) 6.396 2022-08-18 common stock 13847 13847 I By Trust Common Stock Options (to purchase shares of Common Stock) 6.396 2022-08-18 common stock 7693 7693 I By Trust Common Stock Options (to purchase shares of Common Stock) 6.396 2022-08-18 common stock 7693 7693 I By Trust Common Stock Options (to purchase shares of Common Stock) 6.396 2022-08-18 common stock 1539 1539 I By Trust Common Stock Options (to purchase shares of Common Stock) 8.125 2022-06-30 common stock 24616 24616 I By Trust Common Stock Options (to purchase shares of Common Stock) 8.125 2022-06-30 common stock 6154 6154 I By Trust Common Stock Options (to purchase shares of Common Stock) 8.125 2022-06-30 common stock 13847 13847 I By Trust Common Stock Options (to purchase shares of Common Stock) 8.125 2022-06-30 common stock 1539 1539 I By Trust Common Stock Options (to purchase shares of Common Stock) 16.25 2019-07-17 common stock 6994 6994 D Common Stock Options (to purchase shares of Common Stock) 16.25 2019-07-17 common stock 3077 3077 I By Trust Common Stock Options (to purchase shares of Common Stock) 16.25 2019-07-17 common stock 1119 1119 I By Trust Common Stock Options (to purchase shares of Common Stock) 16.25 2019-07-17 common stock 4196 4196 I By Trust These awards were made to the reporting person or his designee and were issued to Trusts or his spouse at his direction for estate planning purposes. These Common Stock Options vested upon issuance. These Common Stock Options vested in three installments: 25 percent on January 18, 2017 (the grant date), 25 percent on March 31, 2017, and 50 percent on June 30, 2017, and are all currently vested. These securities are held in a trust for the benefit of Mr. Margolis's spouse. Mr. Margolis is a trustee of the trust. These securities are held in trusts for the benefit of Mr. Margolis's children. Mr. Margolis's spouse is a trustee of these trusts. Mr. Margolis disclaims beneficial ownership of these securities, and the filing of this report is not an admission that Mr. Margolis is the beneficial owner of these securities for purposes of Section 16 or any other purpose. These securities are held in trusts for the benefit of Mr. Margolis's children. Mr. Margolis is a trustee of these trusts. Mr. Margolis disclaims beneficial ownership of these securities, and the filing of this report is not an admission that Mr. Margolis is the beneficial owner of these securities for purposes of Section 16 or any other purpose. These securities are held in a trust for the benefit of Mr. Margolis. Mr. Margolis's spouse is a trustee of the trust. The exercise price and number of shares of these securities have been adjusted to reflect the Company's 325-to-1 reverse stock split effective September 1, 2016. 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 vested 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, and are all currently vested. These Common Stock Options vested 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, and are all currently vested. 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. /s/ Jeff E. Margolis 2017-07-05