0001104659-20-028657.txt : 20200303 0001104659-20-028657.hdr.sgml : 20200303 20200303170137 ACCESSION NUMBER: 0001104659-20-028657 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200228 FILED AS OF DATE: 20200303 DATE AS OF CHANGE: 20200303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capponi Vincent CENTRAL INDEX KEY: 0001368151 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36792 FILM NUMBER: 20683454 MAIL ADDRESS: STREET 1: MEDASORB TECHNOLOGIES STREET 2: 7 DEER PARK DRIVE, SUITE K CITY: MONMOUTH JUNCTION STATE: NJ ZIP: 08852 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cytosorbents Corp CENTRAL INDEX KEY: 0001175151 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 980373793 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7 DEER PARK DRIVE, SUITE K CITY: MONMOUTH JUNCTION STATE: NJ ZIP: 08852 BUSINESS PHONE: 973-329-8885 MAIL ADDRESS: STREET 1: 7 DEER PARK DRIVE, SUITE K CITY: MONMOUTH JUNCTION STATE: NJ ZIP: 08852 FORMER COMPANY: FORMER CONFORMED NAME: MedaSorb Technologies CORP DATE OF NAME CHANGE: 20060807 FORMER COMPANY: FORMER CONFORMED NAME: GILDER ENTERPRISES INC DATE OF NAME CHANGE: 20020611 4 1 tm2011575d4_form4.xml FORM 4 X0306 4 2020-02-28 0 0001175151 Cytosorbents Corp CTSO 0001368151 Capponi Vincent C/O CYTOSORBENTS CORPORATION 7 DEER PARK DRIVE, SUITE K MONMOUTH JUNCTION NJ 08852 0 1 0 0 Chief Operating Officer Common Stock 2020-02-28 4 A 0 54100 0 A 420849 D Stock Option (right to buy) 6.03 2020-02-28 4 A 0 68000 0 A 2030-02-28 Common Stock 68000 68000 D These shares represent restricted stock units ("RSUs") which shall vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. Includes: (i) the following RSUs that will be settled into common stock upon vesting upon a "Change In Control" of CytoSorbents Corporation as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan (the "Plan"): (a) 17,900 RSUs granted on February 24, 2017, (b) 54,000 RSUs granted on June 7, 2016, (c) 125,000 RSUs granted on April 8, 2015 and (d) 10,100 RSUs granted on March 15, 2018; and (ii) the following RSUs subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting: (a) 54,100 RSUs granted on February 28, 2020 as reported on this Form 4; (b) 36,067 RSUs granted on July 22, 2019 and unvested on the date hereof; and (c) 3,080 RSUs granted on March 4, 2019 and unvested on the date hereof; and (iii) 120,602 shares of common stock owned by the reporting person. The stock options were granted pursuant to the Plan. The shares underlying the stock options vest as to one-quarter of the award on each of the date of grant, the first anniversary of the date of grant, the second anniversary of the date of grant and the third anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date. /s/ Kathleen P. Bloch attorney-in-fact for Vincent Capponi 2020-03-03