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Filing Details

Accession Number:: 0000914190-19-000337
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-08-22 16:37:04
Reporting Period:: 2019-08-22

Accepted Time:: 2019-08-22 16:37:04
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1196298	Nephros Inc	NEPH	Surgical & Medical Instruments & Apparatus (3841)	133971809

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1698052	Andrew Astor	C/O Nephros, Inc. 380 Lackawanna Place South Orange NJ 07079	Cfo/Coo	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2019-08-22	1,500	$6.97	60,710	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Warrants (right to buy)	$2.70	2017-03-17	2022-03-17	14,815	14,815	Direct
Common Stock	Stock Option (right to buy)	$4.14		2027-02-13	45,079	45,079	Direct
Common Stock	Stock Option (right to buy)	$2.64		2027-05-01	32,567	32,567	Direct
Common Stock	Stock Option (right to buy)	$4.50		2027-12-20	5,556	5,556	Direct
Common Stock	Stock Option (right to buy)	$5.85		2028-12-19	22,223	22,223	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2022-03-17	14,815	14,815	Direct
2027-02-13	45,079	45,079	Direct
2027-05-01	32,567	32,567	Direct
2027-12-20	5,556	5,556	Direct
2028-12-19	22,223	22,223	Direct

Footnotes

The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.9675 to $6.9725. The reporting person undertakes to provide the Company, any security holder of the Company. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
On 2/13/17, the Reporting Person was granted an option to purchase up to 64,399 shares of common stock of the Company. Options to purchase 8,049 shares vested on 2/13/18; options to purchase 24,150 shares vest quarterly in 12 equal amounts commencing on 5/13/18; options to purchase 12,880 shares vested upon approval of listing of the Company's common stock on the Nasdaq Stock Market; options to purchase 6,440 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $6,000,000; and options to purchase 12,880 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $10,000,000.
On 5/1/17, the Reporting Person was granted an option to purchase up to 46,525 shares of common stock of the Company. Options to purchase 5,815 shares vested on 5/1/18; options to purchase 17,447 shares vest quarterly in 12 equal amounts commencing on 7/1/18; options to purchase 4,655 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $6,000,000; options to purchase 9,305 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $10,000,000; and options to purchase 9,305 shares vested upon approval of listing of the Company's common stock on the Nasdaq Stock Market.
On 12/20/17, the Reporting Person was granted an option to purchase 5,556 shares of common stock of the Company. Options to purchase 1,389 shares vested on 12/20/18 and options to purchase 4,167 shares vest quarterly in 12 equal amounts commencing on 3/20/19.
On 12/19/18, the Reporting Person was granted an option to purchase 22,223 shares of common stock of the Company. Options to purchase 5,555 shares vest on 12/19/19 and options to purchase 16,668 shares vest quarterly in 12 equal amounts commencing on 3/19/20.