0000914190-21-000008.txt : 20210108 0000914190-21-000008.hdr.sgml : 20210108 20210108173134 ACCESSION NUMBER: 0000914190-21-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210106 FILED AS OF DATE: 20210108 DATE AS OF CHANGE: 20210108 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: 21518517 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 2021-01-06 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 2021-01-06 4 A 0 5921 0 A 48774 D Common Stock 5194 I By spouse Stock Option (Right to Buy) 7.11 2025-05-07 Common Stock 6332 6332 D Stock Option (Right to Buy) 3.60 2026-08-24 Common Stock 3765 3765 D Stock Option (Right to Buy) 4.50 2027-12-20 Common Stock 4476 4476 D Stock Option (Right to Buy) 5.85 2028-12-19 Common Stock 5162 5162 D Stock Option (Right to Buy) 8.57 2029-12-16 Common Stock 5568 5568 D Stock Option (Right to Buy) 8.06 2021-01-06 4 A 0 6850 0 A 2031-01-06 Common Stock 6850 6850 D Represents shares of restricted stock granted to the reporting person in lieu of cash fees payable to the reporting person for his service on the Company's Board of Directors. These shares of restricted stock vest 6 months following the grant date. Fully exercisable. This option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21. Represents options granted to the reporting person for his service on the Company's Board of Directors. This option vests as to 2,284 shares on 1/6/21 and as to 2,283 shares on each of 1/6/22 and 1/6/23. /s/ Amanda Lorentz as attorney-in-fact for Malcolm Persen pursuant to power of attorney previously filed. 2021-01-08