Statement of Changes in Beneficial Ownership (4)
29 8월 2019 - 3:30AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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GOLDSTEIN ALLAN L |
2. Issuer Name and Ticker or Trading Symbol
REGENERX BIOPHARMACEUTICALS INC
[
RGRX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O REGENERX BIOPHARMACEUTICALS, INC., 15245 SHADY GROVE ROAD, SUITE 470 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/12/2019
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(Street)
ROCKVILLE, MD 20850
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/12/2019
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G
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V
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228000
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D
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$0
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1712793
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D
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$.21
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(1)
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3/25/2021
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Common Stock
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450000
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450000
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D
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Stock Option (right to buy)
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$.36
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(1)
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6/30/2022
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Common Stock
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250000
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250000
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D
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Stock Option (right to buy)
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$.64
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(1)
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3/16/2023
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Common Stock
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200000
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200000
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D
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Stock Option (right to buy)
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$.28
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(2)
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9/1/2027
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Common Stock
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150000
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150000
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D
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Stock Option (right to buy)
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$.21
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(3)
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7/17/2028
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Common Stock
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250000
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250000
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D
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Stock Option (right to buy)
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$.21
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(4)
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5/15/2029
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Common Stock
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410000
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410000
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D
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Convertible Promissory Note (right to buy)
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$.12
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2/27/2019
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2/27/2024
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Common Stock
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20833
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$2500.00
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D
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Convertible Promissory Note (right to buy)
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$.12
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5/13/2019
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5/13/2024
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Common Stock
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20833
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$2500.00
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D
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Common Stock Warrant (right to buy)
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$.18
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8/27/2019
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2/27/2024
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Common Stock
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15625
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15625
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D
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Common Stock Warrant (right to buy)
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$.18
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11/13/2019
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5/13/2024
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Common Stock
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15625
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15625
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D
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Explanation of Responses:
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(1)
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100% vested.
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(2)
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37,500 shares vest on each of 9/1/17, 9/1/18, 9/1/19 and 9/1/20.
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(3)
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62,500 shares vest on each of 7/17/18, 7/17/19, 7/17/20 and 7/17/21.
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(4)
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102,500 shares vest on each of 5/15/19, 5/15/20, 5/15/21 and 5/15/22.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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GOLDSTEIN ALLAN L C/O REGENERX BIOPHARMACEUTICALS, INC. 15245 SHADY GROVE ROAD, SUITE 470 ROCKVILLE, MD 20850
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X
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Signatures
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/s/ Andrew Nick as Attorney-in-Fact for Allan Goldstein, Ph.D. pursuant to Power of Attorney previously filed.
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8/28/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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