Statement of Changes in Beneficial Ownership (4)
21 10월 2020 - 6:19AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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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0.5
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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
*
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)
10/15/2020 |
(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 | | | | | | | | 1712793 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $0.21 | | | | | | | (1) | 3/25/2021 | Common Stock | 450000 | | 450000 | D | |
Stock Option (right to buy) | $0.36 | | | | | | | (1) | 6/30/2022 | Common Stock | 250000 | | 250000 | D | |
Stock Option (right to buy) | $0.64 | | | | | | | (1) | 3/16/2023 | Common Stock | 200000 | | 200000 | D | |
Stock Option (right to buy) | $0.28 | | | | | | | (1) | 9/1/2027 | Common Stock | 150000 | | 150000 | D | |
Stock Option (right to buy) | $0.21 | | | | | | | (2) | 7/17/2028 | Common Stock | 250000 | | 250000 | D | |
Stock Option (right to buy) | $0.21 | | | | | | | (3) | 5/15/2029 | Common Stock | 410000 | | 410000 | D | |
Stock Option (right to buy) | $0.30 | | | | | | | (4) | 6/10/2030 | Common Stock | 400000 | | 400000 | D | |
Convertible Promissory Note (right to buy) | $0.12 | | | | | | | 2/27/2019 | 2/27/2024 | Common Stock | 20833 | | $2500.00 | D | |
Convertible Promissory Note (right to buy) | $0.12 | | | | | | | 5/13/2019 | 5/13/2024 | Common Stock | 20833 | | $2500.00 | D | |
Common Stock Warrant (right to buy) | $0.18 | | | | | | | 8/27/2019 | 2/27/2024 | Common Stock | 15625 | | 15625 | D | |
Common Stock Warrant (right to buy) | $0.18 | | | | | | | 11/13/2019 | 5/13/2024 | Common Stock | 15625 | | 15625 | D | |
Convertible Promissory Note (right to buy) | $0.36 | 10/15/2020 | | P | | $5000 | | 10/15/2020 | 10/15/2025 | Common Stock | 13920 | $5000 | $5000 | D | |
Common Stock Warrant (right to buy) | $0.45 | 10/15/2020 | | P | | 10440 | | 4/15/2021 | 10/15/2025 | Common Stock | 10440 | $0 | 10440 | D | |
Explanation of Responses: |
(1) | 100% vested. |
(2) | 62,500 shares vest on each of 7/17/18, 7/17/19, 7/17/20 and 7/17/21. |
(3) | 102,500 shares vest on each of 5/15/19, 5/15/20, 5/15/21 and 5/15/22. |
(4) | 100,000 shares vest on each of 6/10/20, 6/10/21, 6/10/22 and 6/10/23. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GOLDSTEIN ALLAN L C/O REGENERX BIOPHARMACEUTICALS, INC. 15245 SHADY GROVE ROAD, SUITE 470 ROCKVILLE, MD 20850 | 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. | | 10/20/2020 |
**Signature of Reporting Person | Date |
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