AI assistant
Citius Pharmaceuticals, Inc. — Director's Dealing 2018
Apr 2, 2018
34965_dirs_2018-04-02_0770928e-92ae-4e30-8acb-8dc062d2014d.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Citius Pharmaceuticals, Inc. (CTXR)
CIK: 0001506251
Period of Report: 2018-03-29
Reporting Person: Mazur Leonard L (Director, Executive Chairman, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-03-29 | Common Stock | P | 167504 | $2.985 | Acquired | 3718340 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-03-29 | Warrant to Purchase Common Stock | $2.86 | P | 167504 | Acquired | 2023-09-29 | Common Stock (167504) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options to Purchase Common Stock | $3.45 | 2027-09-13 | Common Stock (40000) | 40000 | Direct |
| Warrant to Purchase Common Stock | $6.15 | 2019-06-12 | Common Stock (19614) | 19614 | Direct |
| Warrant to Purchase Common Stock | $9.9 | 2019-09-30 | Common Stock (3171) | 3171 | Direct |
| Warrant to Purchase Common Stock | $9.9 | 2020-01-08 | Common Stock (4984) | 4984 | Direct |
| Warrant to Purchase Common Stock | $7.5 | 2020-08-18 | Common Stock (35211) | 35211 | Direct |
| Warrant to Purchase Common Stock | $7.5 | 2020-11-02 | Common Stock (20783) | 20783 | Direct |
| Warrant to Purchase Common Stock | $7.5 | 2020-11-20 | Common Stock (20664) | 20664 | Direct |
| Warrant to Purchase Common Stock | $7.5 | 2021-01-08 | Common Stock (13679) | 13679 | Direct |
| Warrant to Purchase Common Stock | $7.5 | 2021-03-14 | Common Stock (4210) | 4210 | Direct |
| Warrant to Purchase Common Stock | $6.15 | 2021-03-15 | Common Stock (18106) | 18106 | Direct |
| Warrant to Purchase Common Stock | $4.125 | 2022-08-08 | Common Stock (421400) | 421400 | Direct |
| Warrant to Purchase Common Stock | $4.125 | 2022-08-08 | Common Stock (11000) | 11000 | Direct |
| Options to Purchase Common Stock | $6.75 | 2024-09-12 | Common Stock (220000) | 220000 | Direct |
| Warrant to Purchase Common Stock | $4.63 | 2023-06-19 | Common Stock (106553) | 106553 | Direct |
Footnotes
F1: One-third of the shares of the Company's common stock underlying the grant vest on the first anniversary of the vesting commencement date, September 13, 2018. The remaining shares of the Company's common stock underlying the grant vest in equal monthly installments at the end of each month for two years following the initial vest, provided the Reporting Person continues to serve as a member of the Company's Board of Directors as of each such vesting date.
F2: The warrant is fully vested and exercisable immediately.
F3: On August 8, 2017, the Reporting Person purchased a five-year warrant to purchase 421,400 shares of the Company's common stock at an exercise price of $4.125 per share. The warrant is fully vested and exercisable six months from August 8, 2017.
F4: On August 24, 2017, the Report Person purchased a five-year warrant to purchase 11,000 shares of the Company's common stock at an exercise price of $4.125 per share. The warrant is fully vested and exercisable six months from August 8, 2017.
F5: The option vested as to 40% of the shares of the Company's common stock on September 12, 2014 and 15% of the shares on each of September 12, 2015, March 12 and September 12, 2016 and September 12, 2017. The option was issued pursuant to the Company's 2014 Stock Incentive Plan.
F6: The purchase price of the warrants was included in the purchase price of the common stock reported in Table I.