FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/04/2010 |
3. Issuer Name and Ticker or Trading Symbol
CURAXIS PHARMACEUTICAL Corp [ ASCH ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 8,226,453 | D | |
Common Stock | 300,000(1) | D | |
Common Stock | 4,345,000 | I | As Trustee for PAtrick S. Smith Charitable Remainder Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Purchase Warrant | 10/16/2006 | 12/31/2011 | Common Stock | 3,000 | $0.1 | D | |
Employee Stock Option | 06/20/2003(2) | 06/20/2012 | Common Stock | 240,000 | $0.83 | D | |
Employee Stock Option | 09/15/2004(3) | 09/15/2013 | Common Stock | 80,000 | $2 | D | |
Employee Stock Option | 01/07/2006(4) | 01/17/2015 | Common Stock | 40,000 | $8 | D | |
Employee Stock Option | 01/01/2008(5) | 02/17/2017 | Common Stock | 120,000 | $1.51 | D |
Explanation of Responses: |
1. Held by RBC Dain Rauscher, Inc., Custodian for Patrick S. Smith IRA |
2. These Stock options vest as to 20% on June 20, 2003 and 20% on each June 20th thereafter based on continued employment through June 20, 2007. |
3. These Stock options vest as to 20% on September 15, 2004 and 20% on each September 15th thereafter based on continued employment through September 15, 2008. |
4. These Stock options vest as to 20% on January 17, 2006 and 20% on each January 17th thereafter based on continued employment through January 17, 2010. |
5. These Stock options vest as to 20% on January 1, 2007 and 20% on each January 1st thereafter based on continued employment through January 1, 2012. |
/s/Judith S. T. Geaslen | 08/06/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |