0000902664-21-002989.txt : 20210603
0000902664-21-002989.hdr.sgml : 20210603
20210603164110
ACCESSION NUMBER: 0000902664-21-002989
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210601
FILED AS OF DATE: 20210603
DATE AS OF CHANGE: 20210603
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DAVIDSON CHARLES E
CENTRAL INDEX KEY: 0001001391
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32288
FILM NUMBER: 21993064
MAIL ADDRESS:
STREET 1: C/O WEXFORD CAPITAL LP
STREET 2: 411 WEST PUTNAM AVE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WEXFORD CAPITAL LP
CENTRAL INDEX KEY: 0001048462
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32288
FILM NUMBER: 21993069
BUSINESS ADDRESS:
STREET 1: 777 SOUTH FLAGLER DRIVE
STREET 2: SUITE 602 EAST
CITY: WEST PALM BEACH
STATE: FL
ZIP: 33401
BUSINESS PHONE: 2038627000
MAIL ADDRESS:
STREET 1: 677 WASHINGTON BLVD.
STREET 2: SUITE 500
CITY: STAMFORD
STATE: CT
ZIP: 06901
FORMER NAME:
FORMER CONFORMED NAME: WEXFORD CAPITAL LLC
DATE OF NAME CHANGE: 20000817
FORMER NAME:
FORMER CONFORMED NAME: WEXFORD MANAGEMENT LLC
DATE OF NAME CHANGE: 19971024
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wexford GP LLC
CENTRAL INDEX KEY: 0001472112
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32288
FILM NUMBER: 21993065
BUSINESS ADDRESS:
STREET 1: C/O WEXFORD CAPITAL LP
STREET 2: SUITE 125
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-862-7000
MAIL ADDRESS:
STREET 1: C/O WEXFORD CAPITAL LP
STREET 2: SUITE 125
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JACOBS JOSEPH
CENTRAL INDEX KEY: 0001048485
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32288
FILM NUMBER: 21993063
MAIL ADDRESS:
STREET 1: 411 W PUTNAM AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
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
ownership.xml
X0306
4
2021-06-01
0
0001196298
NEPHROS INC
NEPH
0001048462
WEXFORD CAPITAL LP
677 WASHINGTON BLVD.
SUITE 500
STAMFORD
CT
06901
1
0
1
0
0001472112
Wexford GP LLC
C/O WEXFORD CAPITAL LP
SUITE 125
GREENWICH
CT
06830
1
0
1
0
0001001391
DAVIDSON CHARLES E
C/O WEXFORD CAPITAL LP
411 WEST PUTNAM AVE
GREENWICH
CT
06830
1
0
1
0
0001048485
JACOBS JOSEPH
411 W PUTNAM AVENUE
GREENWICH
CT
06830
1
0
1
0
Common Stock
2021-06-01
4
X
0
66667
2.70
A
3544492
I
See footnotes
Common Stock
106037
D
Common Stock Warrants
2.70
2021-06-01
4
X
0
66667
2.7
D
2016-06-03
2021-06-03
Common Stock
66667
0
I
See footnote
Represents the common stock of the Issuer acquired in connection with the exercise of 66,667 common stock warrants held in the aggregate by Wexford Partners 11, L.P., ("WP11"), WPIC 2 LLC ("WPIC2", and together with WP11, the "Wexford Entities") and Wexford 11 Advisors LLC ("WP Advisors").
Represents the common stock of the Issuer held in the aggregate by the Wexford Entities, WP Advisors and Wexford Spectrum Trading Limited ("WST").
Wexford Capital LP ("Wexford Capital") may, by reason of its status as (i) investment manager of WP11, (ii) manager of WPIC2 and (iii) sub-advisor of WST, be deemed to own beneficially the securities held by the Wexford Entities and WST. Wexford GP LLC ("Wexford GP") may, as the General Partner of Wexford Capital, be deemed to own beneficially the securities held by the Wexford Entities and WST. Each of Charles E. Davidson ("Davidson") and Joseph M. Jacobs ("Jacobs", and together with Wexford Capital, Wexford GP and Davidson, the "Reporting Persons") may, by reason of his status as a controlling person of Wexford GP and Wexford Advisors, be deemed to own beneficially the securities held by the Wexford Entities, Wexford Advisors and WST.
Each of Wexford Capital, Wexford GP, Davidson and Jacobs share the power to vote and to dispose of the securities beneficially owned by the Wexford Entities and WST. Each of Davidson and Jacobs share the power to vote and to dispose of the securities beneficially owned by Wexford Advisors. Each of Wexford Capital, Wexford GP, Davidson and Jacobs disclaim beneficial ownership of the securities owned by the Wexford Entities, Wexford Advisors and/or WST, as applicable, and this report shall not be deemed as an admission that they are the beneficial owners of such securities, except to the extent of any pecuniary interests therein. The Reporting Persons may be deemed to be directors by deputization by virtue of Arthur Amron, an employee of Wexford Capital, serving as a director of the Issuer.
Wexford Capital LP, By: Wexford GP LLC, its general partner, By: Arthur Amron, Vice President and Assistant Secretary
2021-06-03
Wexford GP LLC, By: Arthur Amron, Vice President and Assistant Secretary
2021-06-03
Charles E. Davidson
2021-06-03
Joseph M. Jacobs
2021-06-03