0001104659-23-126432.txt : 20231215 0001104659-23-126432.hdr.sgml : 20231215 20231215163514 ACCESSION NUMBER: 0001104659-23-126432 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: Sobel Alan D. CENTRAL INDEX KEY: 0001639386 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36792 FILM NUMBER: 231490894 MAIL ADDRESS: STREET 1: 293 EISENHOWER PARKWAY CITY: LIVINGSTON STATE: NJ ZIP: 07039 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 tm2332958-5_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-12-13 0 0001175151 Cytosorbents Corp CTSO 0001639386 Sobel Alan D. C/O CYTOSORBENTS CORPORATION 305 COLLEGE ROAD EAST PRINCETON NJ 08540 1 0 0 0 0 Common Stock 2023-12-13 4 P 0 22557 1.33 A 101857 D Common Stock 2000 I Bernard Sobel Revocable Trust Common Stock Warrant (Right to Buy) 2.00 2023-12-13 4 P 0 7894 A 2023-12-13 2028-12-13 Common Stock 7894 7894 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") that will be settled into Common Stock upon vesting upon a "Change in Control" of the Company, as defined in the CytoSorbents Corporation 2014 Long-Term Incentive Plan (the "Plan"): (a) 3,300 RSUs granted on March 15, 2018, (b) 6,000 RSUs granted on February 24, 2017, (c) 5,000 RSUs granted on June 7, 2016, and (d) 55,000 RSUs granted on April 8, 2015 and (ii) 32,557 shares of Common Stock owned directly by the reporting person. These shares are held in the Bernard Sobel Revocable Trust (the "Trust"), for which the reporting person is a trustee and a named beneficiary. Accordingly, the reporting person may be deemed the beneficial owner of the shares held in the Trust. /s/ Kathleen P. Bloch attorney-in-fact for Alan D. Sobel 2023-12-15