0001573202-17-000008.txt : 20171212
0001573202-17-000008.hdr.sgml : 20171212
20171212182139
ACCESSION NUMBER: 0001573202-17-000008
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171209
FILED AS OF DATE: 20171212
DATE AS OF CHANGE: 20171212
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: 171252696
MAIL ADDRESS:
STREET 1: C/O AURORA CAPITAL LLC
STREET 2: 17 PARK AVENUE, #201
CITY: NEW YORK
STATE: NY
ZIP: 10016
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
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2017-12-09
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
SVP, Treas., Sec., CFO
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
J
0
388687
A
2022-12-09
Common Stock
388687
388687
D
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
G
0
250000
0
D
2022-12-09
Common Stock
250000
138687
D
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
G
0
250000
0
A
2022-12-09
Common Stock
250000
250000
I
By Trust
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
G
0
100000
0
D
2022-12-09
Common Stock
100000
38687
D
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
G
0
100000
0
A
2022-12-09
Common Stock
100000
100000
I
By Trusts
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
G
0
38687
0
D
2022-12-09
Common Stock
38687
0
D
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
G
0
38687
0
A
2022-12-09
Common Stock
38687
38687
I
By Spouse
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
G
0
38687
0
D
2022-12-09
Common Stock
38687
0
I
By Spouse
Common Stock Options (to purchase shares of Common Stock)
1.45
2017-12-09
4
G
0
38687
0
A
2022-12-09
Common Stock
38687
38687
I
By Trust
Common Stock Options (to purchase shares of Common Stock)
2
2022-07-26
Common Stock
25000
25000
D
Common Stock Options (to purchase shares of Common Stock)
2
2022-06-30
Common Stock
30000
30000
I
By Trust
Common Stock Options (to purchase shares of Common Stock)
2
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 Trusts
Warrants (right to buy)
6.9225
2020-09-30
Common Stock
2423
2243
I
By Trust
Warrants (right to buy)
6.9225
2020-09-30
Common Stock
2423
2423
I
By Trusts
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 Trusts
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 Trusts
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 Trusts
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
1538
I
By Trusts
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 Trusts
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
8392
8392
I
By Trust
On December 9, 2017, Mr. Margolis forgave all of the accrued but unpaid compensation to which, pursuant to his employment agreement, he was entitled as of September 30, 2017, an aggregate of $560,876. On that date, the Company granted Mr. Margolis options to purchase 388,687 shares of the Company's common stock, with a black-scholes value of $1.44 per option and an aggregate value of $560,876. These Common Stock Options vested upon issuance.
These dispositions and acquisitions reflect estate planning transactions. These securities are being contributed to trusts for the benefit of Mr. Margolis, his spouse and his children, as specified.
These Common Stock Options vested in three installments: 25 percent on July 26, 2017 (the grant date), 25 percent on September 30, 2017, and 50 percent on December 31, 2017.
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's spouse 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 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 Eliot Margolis
2017-12-12