Statement of Changes in Beneficial Ownership (4)
October 20 2020 - 05:19PM
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).
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
Estimated average burden
hours per response... 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 ] |
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
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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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
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|
|
|
|
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1712793 |
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) |
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 |
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|
|
|
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(1) |
3/25/2021 |
Common Stock |
450000 |
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450000 |
D |
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Stock Option (right to buy) |
$0.36 |
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|
|
|
|
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(1) |
6/30/2022 |
Common Stock |
250000 |
|
250000 |
D |
|
Stock Option (right to buy) |
$0.64 |
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|
|
|
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(1) |
3/16/2023 |
Common Stock |
200000 |
|
200000 |
D |
|
Stock Option (right to buy) |
$0.28 |
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|
|
|
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(1) |
9/1/2027 |
Common Stock |
150000 |
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150000 |
D |
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Stock Option (right to buy) |
$0.21 |
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|
|
|
|
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(2) |
7/17/2028 |
Common Stock |
250000 |
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250000 |
D |
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Stock Option (right to buy) |
$0.21 |
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|
|
|
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(3) |
5/15/2029 |
Common Stock |
410000 |
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410000 |
D |
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Stock Option (right to buy) |
$0.30 |
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|
|
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(4) |
6/10/2030 |
Common Stock |
400000 |
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400000 |
D |
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Convertible Promissory Note (right to
buy) |
$0.12 |
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|
|
|
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2/27/2019 |
2/27/2024 |
Common Stock |
20833 |
|
$2500.00 |
D |
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Convertible Promissory Note (right to
buy) |
$0.12 |
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|
|
|
|
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5/13/2019 |
5/13/2024 |
Common Stock |
20833 |
|
$2500.00 |
D |
|
Common Stock Warrant (right to
buy) |
$0.18 |
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|
|
|
|
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8/27/2019 |
2/27/2024 |
Common Stock |
15625 |
|
15625 |
D |
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Common Stock Warrant (right to
buy) |
$0.18 |
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|
|
|
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11/13/2019 |
5/13/2024 |
Common Stock |
15625 |
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15625 |
D |
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Convertible Promissory Note (right to
buy) |
$0.36 |
10/15/2020 |
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P |
|
$5000 |
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10/15/2020 |
10/15/2025 |
Common Stock |
13920 |
$5000 |
$5000 |
D |
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Common Stock Warrant (right to
buy) |
$0.45 |
10/15/2020 |
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P |
|
10440 |
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4/15/2021 |
10/15/2025 |
Common Stock |
10440 |
$0 |
10440 |
D |
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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
|
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. |
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10/20/2020 |
**Signature of Reporting
Person |
Date |