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Filing Details

Accession Number:: 0000914190-20-000107
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-03-05 17:18:04
Reporting Period:: 2020-03-05

Accepted Time:: 2020-03-05 17:18:04
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
1411726	Daron Evans	C/O Nephros, Inc. 380 Lackawanna Place South Orange NJ 07079	President And Ceo	Yes	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	2020-03-05	2,500	$8.44	131,715	No	4	P	Direct

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	8,185	Indirect	By UTMA #1
Common Stock	7,907	Indirect	By UTMA #2
Common Stock	888	Indirect	By UTMA #3
Common Stock	888	Indirect	By UTMA #4
Common Stock	6,111	Indirect	By PoC Capital, LLC

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (Right to Buy)	$4.14		2024-03-26	8,374	8,374	Direct
Common Stock	Stock Option (Right to Buy)	$5.40		2025-04-15	242,690	242,690	Direct
Common Stock	Stock Option (Right to Buy)	$4.50		2027-12-20	93,014	93,014	Direct
Common Stock	Stock Option (Right to Buy)	$8.57		2029-12-16	20,000	20,000	Direct
Common Stock	Common Stock Warrants (Right to Buy)	$2.70	2016-06-03	2021-06-03	1,112	1,112	Indirect
Common Stock	Common Stock Warrants (Right to Buy)	$2.70	2016-06-03	2021-06-03	1,112	1,112	Indirect
Common Stock	Common Stock Warrants (Right to Buy)	$2.70	2017-03-17	2022-03-17	4,630	4,630	Indirect
Common Stock	Common Stock Warrants (Right to Buy)	$2.70	2017-03-17	2022-03-17	4,630	4,630	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2024-03-26	8,374	8,374	Direct
2025-04-15	242,690	242,690	Direct
2027-12-20	93,014	93,014	Direct
2029-12-16	20,000	20,000	Direct
2021-06-03	1,112	1,112	Indirect
2021-06-03	1,112	1,112	Indirect
2022-03-17	4,630	4,630	Indirect
2022-03-17	4,630	4,630	Indirect

Footnotes

The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.40 to $8.4567. The reporting person undertakes to provide Nephros, Inc., any security holder of Nephros, Inc. 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.
The Reporting Person is a managing director of the LLC that owns the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Fully exercisable.
On 4/15/15, the Reporting Person was granted an option to purchase 242,690 shares of common stock of the Company. Options to purchase 84,941 shares vest quarterly in 16 equal amounts commencing on 6/30/15; options to purchase 36,404 shares vested on 8/9/19; and options to purchase 121,345 shares vested upon achievement of previously disclosed performance measures.
On 12/20/17, the Reporting Person was granted an option to purchase 93,014 shares of common stock of the Company. Options to purchase 23,253 shares vested on 12/20/18 and options to purchase 69,761 shares vest quarterly in 12 equal amounts commencing on 3/20/19.
On 12/16/19, the Reporting Person was granted an option to purchase 20,000 shares of common stock of the Company. Options to purchase 5,000 shares vest on 12/16/20 and options to purchase 15,000 shares vest quarterly in 12 equal amounts commencing on 3/16/21.