0000914190-18-000584.txt : 20181221
0000914190-18-000584.hdr.sgml : 20181221
20181221165411
ACCESSION NUMBER: 0000914190-18-000584
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181219
FILED AS OF DATE: 20181221
DATE AS OF CHANGE: 20181221
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: 181250248
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
2018-12-19
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
336750
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
2027-12-20
Common Stock
40284
40284
D
Stock Option (Right to Buy)
.65
2018-12-19
4
A
0
46457
0
A
2028-12-19
Common Stock
46457
46457
D
Includes 71,509 shares of restricted stock that vest on 6/14/19.
Fully exercisable.
The option vests as to 13,428 shares on each of 12/20/17, 12/20/18 and 12/20/19.
On December 19, 2018, the Company granted an option to purchase 46,457 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 15,486 shares on each of 12/19/18 and 12/19/19, and as to 15,485 shares on 12/19/20.
/s/ Amanda Lorentz as attorney-in-fact for Malcolm Persen pursuant to power of attorney previously filed.
2018-12-21