4//SEC Filing
DAVIDSON CHARLES E 4
Accession 0000902664-21-002989
CIK 0001196298other
Filed
Jun 2, 8:00 PM ET
Accepted
Jun 3, 4:41 PM ET
Size
14.9 KB
Accession
0000902664-21-002989
Insider Transaction Report
Form 4
NEPHROS INCNEPH
Wexford GP LLC
10% Owner
Transactions
- Exercise of In-Money
Common Stock Warrants
2021-06-01$2.70/sh−66,667$180,001→ 0 total(indirect: See footnote)Exercise: $2.70From: 2016-06-03Exp: 2021-06-03→ Common Stock (66,667 underlying) - Exercise of In-Money
Common Stock
2021-06-01$2.70/sh+66,667$180,001→ 3,544,492 total(indirect: See footnotes)
Holdings
- 106,037
Common Stock
DAVIDSON CHARLES E
10% Owner
Transactions
- Exercise of In-Money
Common Stock Warrants
2021-06-01$2.70/sh−66,667$180,001→ 0 total(indirect: See footnote)Exercise: $2.70From: 2016-06-03Exp: 2021-06-03→ Common Stock (66,667 underlying) - Exercise of In-Money
Common Stock
2021-06-01$2.70/sh+66,667$180,001→ 3,544,492 total(indirect: See footnotes)
Holdings
- 106,037
Common Stock
JACOBS JOSEPH
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2021-06-01$2.70/sh+66,667$180,001→ 3,544,492 total(indirect: See footnotes) - Exercise of In-Money
Common Stock Warrants
2021-06-01$2.70/sh−66,667$180,001→ 0 total(indirect: See footnote)Exercise: $2.70From: 2016-06-03Exp: 2021-06-03→ Common Stock (66,667 underlying)
Holdings
- 106,037
Common Stock
WEXFORD CAPITAL LP
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2021-06-01$2.70/sh+66,667$180,001→ 3,544,492 total(indirect: See footnotes) - Exercise of In-Money
Common Stock Warrants
2021-06-01$2.70/sh−66,667$180,001→ 0 total(indirect: See footnote)Exercise: $2.70From: 2016-06-03Exp: 2021-06-03→ Common Stock (66,667 underlying)
Holdings
- 106,037
Common Stock
Footnotes (4)
- [F1]Represents the common stock of the Issuer acquired in connection with the exercise of 66,667 common stock warrants held in the aggregate by Wexford Partners 11, L.P., ("WP11"), WPIC 2 LLC ("WPIC2", and together with WP11, the "Wexford Entities") and Wexford 11 Advisors LLC ("WP Advisors").
- [F2]Represents the common stock of the Issuer held in the aggregate by the Wexford Entities, WP Advisors and Wexford Spectrum Trading Limited ("WST").
- [F3]Wexford Capital LP ("Wexford Capital") may, by reason of its status as (i) investment manager of WP11, (ii) manager of WPIC2 and (iii) sub-advisor of WST, be deemed to own beneficially the securities held by the Wexford Entities and WST. Wexford GP LLC ("Wexford GP") may, as the General Partner of Wexford Capital, be deemed to own beneficially the securities held by the Wexford Entities and WST. Each of Charles E. Davidson ("Davidson") and Joseph M. Jacobs ("Jacobs", and together with Wexford Capital, Wexford GP and Davidson, the "Reporting Persons") may, by reason of his status as a controlling person of Wexford GP and Wexford Advisors, be deemed to own beneficially the securities held by the Wexford Entities, Wexford Advisors and WST.
- [F4]Each of Wexford Capital, Wexford GP, Davidson and Jacobs share the power to vote and to dispose of the securities beneficially owned by the Wexford Entities and WST. Each of Davidson and Jacobs share the power to vote and to dispose of the securities beneficially owned by Wexford Advisors. Each of Wexford Capital, Wexford GP, Davidson and Jacobs disclaim beneficial ownership of the securities owned by the Wexford Entities, Wexford Advisors and/or WST, as applicable, and this report shall not be deemed as an admission that they are the beneficial owners of such securities, except to the extent of any pecuniary interests therein. The Reporting Persons may be deemed to be directors by deputization by virtue of Arthur Amron, an employee of Wexford Capital, serving as a director of the Issuer.
Documents
Issuer
NEPHROS INC
CIK 0001196298
Entity typeother
Related Parties
1- filerCIK 0001001391
Filing Metadata
- Form type
- 4
- Filed
- Jun 2, 8:00 PM ET
- Accepted
- Jun 3, 4:41 PM ET
- Size
- 14.9 KB