0000914190-16-000794.txt : 20160826
0000914190-16-000794.hdr.sgml : 20160826
20160826173516
ACCESSION NUMBER: 0000914190-16-000794
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160824
FILED AS OF DATE: 20160826
DATE AS OF CHANGE: 20160826
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: 161855658
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
2016-08-24
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
2016-08-24
4
A
0
113636
0
A
151605
D
Common Stock
31160
I
By spouse
Warrants (right to buy)
.85
2015-05-12
2020-05-18
Common Stock
15580
15580
I
By spouse
Stock Option (Right to Buy)
.79
2025-05-07
Common Stock
56981
56981
D
Stock Option (Right to Buy)
.40
2016-08-24
4
A
0
33880
0
A
2026-08-24
Common Stock
33880
33880
D
On August 24, 2016, the Company granted 73,864 shares of restricted stock of the Company (the "Restricted Stock") in lieu of $40,000 in cash fees payable to Mr. Persen in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). The Restricted Stock vests 6 months following the grant date.
Due to an administrative error, the Reporting Person's Form 4 filed in September 2015 reported the dollar value of his grant instead of the number of shares actually granted (37,969) and this report accurately reflects the Reporting Person's total direct ownership.
The options vest as to 18,994 shares on each of 5/7/15 and 5/7/16 and as to 18,993 shares on 5/7/17.
On August 24, 2016, the Company granted an option to purchase 33,880 shares of common stock of the Company (the "Option") in respect of the service by Mr. Persen as a member of the Board of Directors of the Company. The Option was granted under the 2015 Plan. This option vests as to 11,294 shares on 8/24/16 and as to 11,293 shares on each of 8/24/17 and 8/24/18.
/s/ Amanda Lorentz as attorney-in-fact for Malcolm Persen pursuant to power of attorney previously filed.
2016-08-26