0000914190-15-000218.txt : 20150514 0000914190-15-000218.hdr.sgml : 20150514 20150514170804 ACCESSION NUMBER: 0000914190-15-000218 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150512 FILED AS OF DATE: 20150514 DATE AS OF CHANGE: 20150514 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: PERSEN MALCOLM C CENTRAL INDEX KEY: 0001287975 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32288 FILM NUMBER: 15863897 MAIL ADDRESS: STREET 1: NEPHROS, INC. STREET 2: 41 GRAND AVE. CITY: RIVER EDGE STATE: NJ ZIP: 07661 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-05-12 0001196298 NEPHROS INC NEPH 0001287975 PERSEN MALCOLM C C/O NEPHROS, INC. 41 GRAND AVENUE RIVER EDGE NJ 07661 1 0 0 0 Common Stock 2015-05-12 4 P 0 31160 A 31160 I By spouse Stock Option (Right to Buy) .79 2025-05-07 Common Stock 56981 56981 D Warrants (right to buy) .85 2015-05-12 4 P 0 15580 A 2015-05-12 2020-05-18 Common Stock 15580 15580 I By spouse The reported securities have a purchase price of $0.67 per share of Common Stock. In addition, the reporting person received a Warrant to purchase a number of shares of Common Stock equal to 50% of the number of shares of Common Stock otherwise purchased. The reporting person purchased 31,160 shares of Common Stock and was issued related Warrants to acquire up to 50% of the number of shares of Common Stock (i.e., 15,580 Warrants). On May 7, 2015, the Company granted to Mr. Persen an option to purchase 56,981 shares of common stock of the Company, of which one-third vested immediately upon the grant date, one-third will vest on the first anniversary of the grant date, and the remaining one-third will vest on the second anniversary of the grant date. /s/ Amanda Lorentz as attorney-in-fact for Malcolm Persen pursuant to power of attorney previously filed. 2015-05-14