0001104659-23-126430.txt : 20231215
0001104659-23-126430.hdr.sgml : 20231215
20231215163414
ACCESSION NUMBER: 0001104659-23-126430
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231213
FILED AS OF DATE: 20231215
DATE AS OF CHANGE: 20231215
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: 231490876
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: 305 COLLEGE ROAD EAST
CITY: PRINCETON
STATE: NJ
ZIP: 08540
BUSINESS PHONE: 973-329-8885
MAIL ADDRESS:
STREET 1: 305 COLLEGE ROAD EAST
CITY: PRINCETON
STATE: NJ
ZIP: 08540
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
tm2332958-6_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-12-13
0
0001175151
Cytosorbents Corp
CTSO
0001368151
Capponi Vincent
C/O CYTOSORBENTS CORPORATION
305 COLLEGE ROAD EAST
PRINCETON
NJ
08540
0
1
0
0
President & COO
0
Common Stock
2023-12-13
4
P
0
18797
1.33
A
584134
D
Common Stock Warrant (Right to Buy)
2.00
2023-12-13
4
P
0
6578
A
2023-12-13
2028-12-13
Common Stock
6578
6578
D
These securities were purchased by the reporting person in the registered direct offering of CytoSorbents Corporation (the "Company"), which closed on December 13, 2023. In the offering, each share of common stock, par value $0.001 per share (the "Common Stock") of the Company was purchased together with an accompanying warrant to purchase up to 0.35 shares of Common Stock, at a combined offering price of $1.33 per share of Common Stock and accompanying warrant.
Includes (i) the following restricted stock units ("RSUs") (which vest as to two-thirds of the award on the first anniversary of the date of grant and one-third of the award on the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date) and will settle into shares of Common Stock upon vesting: 73,000 RSUs granted on July 7, 2023 and unvested as of the date hereof;
(continued from footnote 2) (ii) the following RSUs that will be settled into Common Stock upon vesting upon a "Change In Control" of the Company as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan (the "Plan"): (a) 10,100 RSUs granted on March 15, 2018, (b) 17,900 RSUs granted on February 24, 2017, (c) 54,000 RSUs granted on June 7, 2016 and (d) 125,000 RSUs granted on April 8, 2015;
(continued from footnote 3) (iii) 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 settle into Common Stock upon vesting: 23,000 RSUs granted on August 10, 2022 and unvested as of the date hereof; and
(continued from footnote 4) (iv) 281,134 shares of Common Stock owned by the reporting person.
/s/ Kathleen P. Bloch attorney-in-fact for Vincent Capponi
2023-12-15