0000914190-19-000505.txt : 20191218
0000914190-19-000505.hdr.sgml : 20191218
20191218171225
ACCESSION NUMBER: 0000914190-19-000505
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191216
FILED AS OF DATE: 20191218
DATE AS OF CHANGE: 20191218
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PERSEN MALCOLM C
CENTRAL INDEX KEY: 0001287975
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32288
FILM NUMBER: 191293218
MAIL ADDRESS:
STREET 1: NEPHROS, INC.
STREET 2: 41 GRAND AVE.
CITY: RIVER EDGE
STATE: NJ
ZIP: 07661
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NEPHROS INC
CENTRAL INDEX KEY: 0001196298
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 133971809
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 380 LACKAWANNA PLACE
CITY: SOUTH ORANGE
STATE: NJ
ZIP: 07079
BUSINESS PHONE: 201.343.5202
MAIL ADDRESS:
STREET 1: 380 LACKAWANNA PLACE
CITY: SOUTH ORANGE
STATE: NJ
ZIP: 07079
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2019-12-16
0001196298
NEPHROS INC
NEPH
0001287975
PERSEN MALCOLM C
C/O NEPHROS, INC.
380 LACKAWANNA PLACE
SOUTH ORANGE
NJ
07079
1
0
0
0
Common Stock
2019-12-16
4
A
0
5437
0
A
42853
D
Common Stock
3462
I
By spouse
Warrants (right to buy)
7.65
2015-05-12
2020-05-18
Common Stock
1732
1732
I
By spouse
Stock Option (Right to Buy)
7.11
2025-05-07
Common Stock
6332
6332
D
Stock Option (Right to Buy)
3.60
2026-08-24
Common Stock
3765
3765
D
Stock Option (Right to Buy)
4.50
2027-12-20
Common Stock
4476
4476
D
Stock Option (Right to Buy)
5.85
2028-12-19
Common Stock
5162
5162
D
Stock Option (Right to Buy)
8.57
2019-12-16
4
A
0
5568
0
A
2029-12-16
Common Stock
5568
5568
D
On December 16, 2019, the Company granted 5,437 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Mr. Persen in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). The Restricted Stock vests 6 months following the grant date.
Fully exercisable.
The option vests as to 13,428 shares on each of 12/20/17, 12/20/18 and 12/20/19.
The option vests as to 15,486 shares on each of 12/19/18 and 12/19/19, and as to 15,485 shares on 12/19/20.
On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Mr. Persen as a member of the Board of Directors of the Company. The Option was granted under the 2015 Plan. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.
On July 9, 2019, the Company completed a one-for-nine reverse stock split. All common stock amounts and exercise prices in the filing relating to securities acquired prior to July 9, 2019 have been adjusted to reflect the onefor-nine reverse stock split.
/s/ Amanda Lorentz as attorney-in-fact for Malcolm Persen pursuant to power of attorney previously filed.
2019-12-18