0001140361-16-068981.txt : 20160607
0001140361-16-068981.hdr.sgml : 20160607
20160607171853
ACCESSION NUMBER: 0001140361-16-068981
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160603
FILED AS OF DATE: 20160607
DATE AS OF CHANGE: 20160607
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: 41 GRAND AVENUE
CITY: RIVER EDGE,
STATE: NJ
ZIP: 07661
BUSINESS PHONE: 201.343.5202
MAIL ADDRESS:
STREET 1: 41 GRAND AVENUE
CITY: RIVER EDGE,
STATE: NJ
ZIP: 07661
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: 161702071
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: JACOBS JOSEPH
CENTRAL INDEX KEY: 0001048485
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32288
FILM NUMBER: 161702072
MAIL ADDRESS:
STREET 1: 411 W PUTNAM AVENUE
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: 161702073
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: 161702074
BUSINESS ADDRESS:
STREET 1: 411 W PUTNAM AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 2038627000
MAIL ADDRESS:
STREET 1: 411 W PUTNAM AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
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: Lambda Investors LLC
CENTRAL INDEX KEY: 0001413621
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32288
FILM NUMBER: 161702075
BUSINESS ADDRESS:
STREET 1: C/O WEXFORD CAPITAL LP
STREET 2: 411 WEST PUTNAM AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-862-7000
MAIL ADDRESS:
STREET 1: C/O WEXFORD CAPITAL LP
STREET 2: 411 WEST PUTNAM AVENUE
CITY: GREENWICH
STATE: CT
ZIP: 06830
4
1
doc1.xml
FORM 4
X0306
4
2016-06-03
0
0001196298
NEPHROS INC
NEPH
0001413621
Lambda Investors LLC
411 WEST PUTNAM AVENUE
SUITE 125
GREENWICH
CT
06830
1
0
1
0
0001048462
WEXFORD CAPITAL LP
411 WEST PUTNAM AVENUE
SUITE 125
GREENWICH
CT
06830
0
0
1
0
0001472112
Wexford GP LLC
C/O WEXFORD CAPITAL LP
SUITE 125
GREENWICH
CT
06830
0
0
1
0
0001048485
JACOBS JOSEPH
C/O WEXFORD CAPITAL LP
411 WEST PUTNAM AVENUE, SUITE 125
GREENWICH
CT
06830
0
0
1
0
0001001391
DAVIDSON CHARLES E
C/O WEXFORD CAPITAL LP
411 WEST PUTNAM AVE.
GREENWICH
CT
06830
0
0
1
0
Common Stock, par value $0.001
29800424
I
Held directly by Lambda Investors LLC
Common Stock, par value $0.001
190446
I
Held directly by Wexford Capital LP
Common Stock Warrant
.30
2016-06-03
4
A
0
600000
A
2016-06-03
2021-06-03
Common Stock
600000
600000
I
Held directly by Lamdba Investors LLC
This form is jointly filed by Lambda Investors LLC ("Lambda") a, Wexford Capital LP ("Wexford"), Wexford GP LLC ("Wexford GP"), Charles E. Davidson ("Davidson") and Joseph M. Jacobs ("Jacobs"). The reported securities are held directly by Lambda and by Wexford. Wexford serves as manager of Lambda, and as such may be deemed to share beneficial ownership of the securities beneficially owned by Lambda, but disclaims such beneficial ownership to the extent such beneficial ownership exceeds its pecuniary interest. Wexford GP, as the general partner of Wexford, may be deemed to share beneficial ownership of the securities beneficially owned by Lambda, but disclaims such ownership to the extent such beneficial ownership exceeds its pecuniary interest. (continued under Footnote (2) below).
(continued from Footnote (1) above) Messrs. Davidson and Jacobs, as the controlling persons of Wexford GP, may be deemed to share beneficial ownership of any securities beneficially owned by Lambda for which Wexford serves as manager, but disclaim such beneficial ownership to the extent such beneficial ownership exceeds their pecuniary interest.
On June 3, 2016, Nephros, Inc. (the "Company"), Lambda and certain other investors entered into a Note and Warrant Purchase Agreement whereby Lambda agreed to loan the Company $300,000 pursuant to the issue of (i) an 11% Unsecured Promissory Note (the "Note"), and (ii) a five-year warrant to acquire two (2) shares of Common Stock, par value$0.001 per share, for each dollar of principal amount of the Note (the "Warrant").
Lambda Investors LLC By: Arthur Amron, Vice President and Assistant Secretary
2016-06-07
Wexford Capital LP, By: Wexford GP LLC, its general partner By Arthur Amron, Vice President and Assistant Secretary
2016-06-07
Wexford GP LLC, By Arthur Amron, Vice Presidentand Assistant Secretary
2016-06-07
Charles E. Davidson
2016-06-07
Joseph M. Jacobs
2016-06-07