0000914190-20-000169.txt : 20200513 0000914190-20-000169.hdr.sgml : 20200513 20200513165614 ACCESSION NUMBER: 0000914190-20-000169 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200511 FILED AS OF DATE: 20200513 DATE AS OF CHANGE: 20200513 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: 20873943 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 2020-05-11 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 42853 D Common Stock 2020-05-11 4 X 0 1732 7.65 A 5194 I By spouse Warrants (right to buy) 7.65 2020-05-11 4 X 0 1732 0 D 2015-05-12 2020-05-18 Common Stock 1732 0 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 2029-12-16 Common Stock 5568 5568 D 5,437 shares of restricted stock vest on June 16, 2020. Fully exercisable. 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. The option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21. /s/ Amanda Lorentz as attorney-in-fact for Malcolm Persen pursuant to power of attorney previously filed. 2020-05-13