0001048462-21-000005.txt : 20210129 0001048462-21-000005.hdr.sgml : 20210129 20210129164953 ACCESSION NUMBER: 0001048462-21-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210127 FILED AS OF DATE: 20210129 DATE AS OF CHANGE: 20210129 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: 21571980 MAIL ADDRESS: STREET 1: 411 W PUTNAM AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 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: 21571981 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 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: 21571982 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: 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: 21571983 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 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 form4.xml X0306 4 2021-01-27 0001196298 NEPHROS INC NEPH 0001048462 WEXFORD CAPITAL LP 777 SOUTH FLAGLER DRIVE, SUITE 602 EAST WEST PALM BEACH FL 33401 true true 0001472112 Wexford GP LLC C/O WEXFORD CAPITAL LP 777 SOUTH FLAGLER DRIVE, SUITE 602 EAST WEST PALM BEACH FL 44302 true true 0001001391 DAVIDSON CHARLES E C/O WEXFORD CAPITAL LP 777 SOUTH FLAGLER DRIVE, SUITE 602 EAST WEST PALM BEACH FL 33401 true true 0001048485 JACOBS JOSEPH C/O WEXFORD CAPITAL LP 777 SOUTH FLAGLER DRIVE, SUITE 602 EAST WEST PALM BEACH FL 33401 true true Common Stock 2021-01-27 4 M 0 3556 4.59 A 94839 D Common Stock 2021-01-27 4 M 0 2956 4.14 A 97795 D Common Stock 2021-01-27 4 M 0 3765 3.6 A 101560 D Common Stock 2021-01-27 4 M 0 4477 4.5 A 106037 D Stock Option (Right to Buy) 4.59 2021-01-27 4 M 0 3556 0 D 2014-03-24 2021-01-29 Common Stock 3556 3556 D Stock Option (Right to Buy) 4.14 2021-01-27 4 M 0 2956 0 D 2016-03-26 2021-01-29 Common Stock 2956 2956 D Stock Option (Right to Buy) 3.6 2021-01-27 4 M 0 3765 0 D 2018-08-24 2021-01-29 Common Stock 3765 3765 D Stock Option (Right to Buy) 4.5 2021-01-27 4 M 0 4477 0 D 2019-12-20 2021-01-29 Common Stock 4477 4477 D Includes vested and unvested shares of common stock granted to Wexford Capital LP ("Wexford Capital") as reported in Form 4s previously filed by Arthur Amron and Paul Mieyal, respectively, a current and former director of the Company and a current and former employee of Wexford Capital. Includes the options reported in the Form 4 filed by Arthur Amron on March 28, 2011. Includes the options reported in the Form 4 filed by Arthur Amron on March 27, 2014. Includes the options reported in the Form 4 filed by Arthur Amron on August 25, 2016. Includes the options reported in the Form 4 filed by Arthur Amron on December 22, 2017. Wexford GP LLC ("Wexford GP") may, as the General Partner of Wexford Capital LP ("Wexford Capital"), be deemed to own beneficially the securities held by Wexford Capital. 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, be deemed to own beneficially the securities held by Wexford Capital. Each of Wexford Capital, Wexford GP, Davidson and Jacobs share the power to vote and to dispose of the securities beneficially owned by Wexford Capital. Each of Wexford GP, Davidson and Jacobs disclaim beneficial ownership of the securities owned by Wexford Capital, 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 2021-01-29 Wexford GP LLC, By: Arthur Amron, Vice President and Assistant Secretary 2021-01-29 Charles E. Davidson 2021-01-29 Joseph M. Jacobs 2021-01-29