0000914190-17-000393.txt : 20171222
0000914190-17-000393.hdr.sgml : 20171222
20171222113456
ACCESSION NUMBER: 0000914190-17-000393
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171220
FILED AS OF DATE: 20171222
DATE AS OF CHANGE: 20171222
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: 171271741
MAIL ADDRESS:
STREET 1: NEPHROS, INC.
STREET 2: 41 GRAND AVE.
CITY: RIVER EDGE
STATE: NJ
ZIP: 07661
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: 380 LACKAWANNA PLACE
CITY: SOUTH ORANGE
STATE: NJ
ZIP: 07079
BUSINESS PHONE: 201.343.5202
MAIL ADDRESS:
STREET 1: 380 LACKAWANNA PLACE
CITY: SOUTH ORANGE
STATE: NJ
ZIP: 07079
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-12-20
0001196298
NEPHROS INC
NEPH
0001287975
PERSEN MALCOLM C
C/O NEPHROS, INC.
380 LACKAWANNA PLACE
SOUTH ORANGE
NJ
07079
1
0
0
0
Common Stock
2017-12-20
4
A
0
113636
0
A
265241
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
2026-08-24
Common Stock
33880
33880
D
Stock Option (Right to Buy)
.4999
2017-12-20
4
A
0
40284
0
A
2027-12-20
Common Stock
40284
40284
D
On December 20, 2017, the Company granted 113,636 shares of restricted stock of the Company (the "Restricted Stock") in lieu of 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.
Fully exercisable.
The 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.
On December 20, 2017, the Company granted an option to purchase 40,284 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. The Option vests as to 13,428 shares on each of 12/20/17, 12/20/18 and 12/20/19.
/s/ Amanda Lorentz as attorney-in-fact for Malcolm Persen pursuant to power of attorney previously filed.
2017-12-22