0001104659-20-090308.txt : 20200804 0001104659-20-090308.hdr.sgml : 20200804 20200804163155 ACCESSION NUMBER: 0001104659-20-090308 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200731 FILED AS OF DATE: 20200804 DATE AS OF CHANGE: 20200804 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLOCH KATHLEEN P. CENTRAL INDEX KEY: 0001409212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36792 FILM NUMBER: 201073762 MAIL ADDRESS: STREET 1: 3 PERSHING COURT CITY: NORTH BRUNSWICK STATE: NJ ZIP: 08902 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 tm2026522d1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-07-31 0 0001175151 Cytosorbents Corp CTSO 0001409212 BLOCH KATHLEEN P. C/O CYTOSORBENTS CORPORATION 7 DEER PARK DRIVE, SUITE K MONMOUTH JUNCTION NJ 08852 0 1 0 0 Chief Financial Officer Common Stock 2020-07-31 4 M 0 10000 5.60 A 325156 D Common Stock 21000 I See Footnote Stock Option (right to buy) 5.60 2020-07-31 4 M 0 10000 0 A 2027-02-24 Common Stock 10000 55650 D Includes: (i) the following RSUs that will be settled into common stock upon a "Change In Control" of CytoSorbents Corporation (the "Company"), as defined in the Company's 2014 Long-Term Incentive Plan (the "Plan"): (a) 15,700 RSUs granted on February 24, 2017, (b) 47,000 RSUs granted on June 7, 2016, (c) 110,000 RSUs granted on April 8, 2015, and (d) 8,800 RSUs granted on March 15, 2018; (continue with footnote 2) (ii) the following RSUs (which 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, par value $0.001 per share (the "Common Stock") of the Company upon vesting: (a) 28,667 RSUs granted on February 28, 2020 and unvested as of the date hereof, (b) 14,334 RSUs granted on July 22, 2019 and unvested as of the date hereof and (c) 1,358 RSUs granted on March 4, 2019 and unvested as of the date hereof; and (iii) 99,297 shares of Common Stock owned by the Reporting Person. Includes (i) 10,000 shares held by the Reporting Person's husband in a 401(k) account and (ii) 11,000 shares held by the Reporting Person's husband in an IRA account. The Reporting Person may be deemed the beneficial owner of such shares. These stock options were originally granted on February 24, 2017 and became exercisable upon achievement of certain performance goals as determined in the discretion of the Compensation Committee of the Board of Directors of the Company. /s/ Kathleen P. Bloch 2020-08-04