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