SEC Form 5 · accession 0001144204-19-008362
Cytosorbents Corp · CTSO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward Raymond Jones
Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 14, 2019 · 5:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001175151
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 31, 2018 | M | 1,800 | $0.875 | A | 73,600 | D | |
| Common StockF1 | Aug 14, 2018 | M | 1,200 | $2.00 | A | 74,800 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.875 | May 31, 2018 | M | 1,800 | D | Jun 25, 2008 | Jun 25, 2018 | Common Stock | 1,800 | 0 | D |
| Stock Option (right to buy) | $2.00 | Aug 14, 2018 | M | 1,200 | D | Dec 31, 2008 | Dec 31, 2018 | Common Stock | 1,200 | 0 | D |
Explanation of responses
- F1Includes (a) the following restricted stock units subject to vesting upon a "Change in Control" of CytoSorbents Corporation, as defined in the CytoSorbents Corporation 2014 Long-Term Incentive Plan: (i) 3,300 restricted stock units granted on March 15, 2018, (ii) 6,000 restricted stock units granted on February 24, 2017, (iii) 5,000 restricted stock units granted on June 7, 2016, and (iv) 55,000 restricted stock units granted on April 8, 2015, and (b) 5,500 shares of common stock owned by the reporting person.