Filing Details

Accession Number:
0000914190-20-000113
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-12 17:02:08
Reporting Period:
2020-03-12
Accepted Time:
2020-03-12 17:02:08
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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-03-12 2,500 $6.65 134,215 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
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
  1. 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.
  2. Fully exercisable.
  3. 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.
  4. 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.
  5. 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.