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