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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options to Acquire Common Stock | $ 1.5 | 10/06/2005 | X | 10,000 | 03/23/2005 | 03/23/2014 | Common Stock | 10,000 | (1) | 40,000 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOHNSON CLARK A C/O NEUROLOGIX, INC. ONE BRIDGE PLAZA FORT LEE, NJ 07024 |
X |
/s/ Clark Johnson | 10/07/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Options to acquire common stock were received by Mr. Johnson in connection with his services as a director of Neurologix, Inc. |
(2) | Following the exercise of options on October 6, 2005, Mr. Johnson holds options to acquire 10,000 shares of common stock of Neurologix, Inc. at an exercise price of $1.50 per share, which become exercisable on March 23, 2006 and expire on March 23, 2014. Mr. Johnson also holds options to acquire 30,000 shares of such common stock at an exercise price of $1.94 per share, all of which expire on May 16, 2015. 10,000 of such options became exercisable on May 16, 2005 and 10,000 will become exercisable on each of May 16, 2006 and May 16, 2007. |