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Filing Details

Accession Number:: 0000914190-21-000282
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-08-18 18:08:02
Reporting Period:: 2021-08-17

Accepted Time:: 2021-08-18 18:08:02
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	President & 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	2021-08-17	2,500	$7.67	75,458	No	4	P	Direct
Common Stock	Acquisiton	2021-08-18	2,500	$7.77	77,958	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
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	64,399	64,399	Direct
Common Stock	Stock Option (right to buy)	$2.64		2027-05-01	46,525	46,525	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
Common Stock	Stock Option (right to buy)	$8.30		2029-12-16	20,000	20,000	Direct
Common Stock	Stock Option (right to buy)	$7.07		2030-08-24	152,064	152,064	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2022-03-17	14,815	14,815	Direct
2027-02-13	64,399	64,399	Direct
2027-05-01	46,525	46,525	Direct
2027-12-20	5,556	5,556	Direct
2028-12-19	22,223	22,223	Direct
2029-12-16	20,000	20,000	Direct
2030-08-24	152,064	152,064	Direct

Footnotes

The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.66 to $7.6699. 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.
The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.60 to $7.85. 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 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; and options to purchase 32,200 shares vested upon achievement of previously disclosed performance measures.
On 5/1/17, the Reporting Person was granted an option to purchase 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; and options to purchase 23,263 shares vested upon achievement of previously disclosed performance measures.
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 vested on 12/19/19 and options to purchase 16,668 shares vest quarterly in 12 equal amounts commencing on 3/19/20.
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.
On 8/24/20, the Reporting Person was granted an option to purchase 152,064 shares of common stock of the Company. Options to purchase 38,016 shares vest on 8/24/21 and options to purchase 114,048 shares vest quarterly in 12 equal amounts commencing on 11/24/21.