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Citius Pharmaceuticals, Inc. — Director's Dealing 2021
Jul 26, 2021
34965_dirs_2021-07-26_33e7e284-6f36-4075-92b3-b00b55a00417.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Citius Pharmaceuticals, Inc. (CTXR)
CIK: 0001506251
Period of Report: 2021-07-22
Reporting Person: Mazur Leonard L (Director, Executive Chairman, 10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-07-22 | Options to Purchase Common Stock | $2.00 | A | 300000 | Acquired | 2031-07-22 | Common Stock (300000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 10255343 | 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 | $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 |
| Warrant to Purchase Common Stock | $2.86 | 2023-09-29 | Common Stock (167504) | 167504 | Direct |
| Warrant to Purchase Common Stock | $1.15 | 2023-08-14 | Common Stock (3137255) | 3137255 | Direct |
| Options to Purchase Common Stock | $1.62 | 2028-09-04 | Common Stock (150000) | 150000 | Direct |
| Warrant to Purchase Common Stock | $1.42 | 2024-04-05 | Common Stock (1165048) | 1615048 | Direct |
| Warrant to Purchase Common Stock | $0.77 | 2024-09-27 | Common Stock (2234700) | 2234700 | Direct |
| Options to Purchase Common Stock | $0.67 | 2029-10-08 | Common Stock (175000) | 175000 | Direct |
| Options to Purchase Common Stock | $1.01 | 2030-10-06 | Common Stock (200000) | 200000 | 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: 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.
F4: One-third of the shares of the Company's common stock underlying the grant vest on each of the one-year, two-year and three-year anniversary of the vesting commencement date, September 4, 2018, provided that the Reporting Person provides continuous services to the Company as of each such vesting date.
F5: The options were granted on October 8, 2019. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date.
F6: The options were granted on October 6, 2020. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date.
F7: The options were granted on July 22, 2021. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date.