0000914190-19-000336.txt : 20190822
0000914190-19-000336.hdr.sgml : 20190822
20190822160938
ACCESSION NUMBER: 0000914190-19-000336
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190822
FILED AS OF DATE: 20190822
DATE AS OF CHANGE: 20190822
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Evans Daron
CENTRAL INDEX KEY: 0001411726
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32288
FILM NUMBER: 191046203
MAIL ADDRESS:
STREET 1: C/O NEPHROS, INC.
STREET 2: 41 GRAND AVENUE
CITY: RIVER EDGE
STATE: NJ
ZIP: 07661
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NEPHROS INC
CENTRAL INDEX KEY: 0001196298
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 133971809
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 380 LACKAWANNA PLACE
CITY: SOUTH ORANGE
STATE: NJ
ZIP: 07079
BUSINESS PHONE: 201.343.5202
MAIL ADDRESS:
STREET 1: 380 LACKAWANNA PLACE
CITY: SOUTH ORANGE
STATE: NJ
ZIP: 07079
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2019-08-22
0001196298
NEPHROS INC
NEPH
0001411726
Evans Daron
C/O NEPHROS, INC.
380 LACKAWANNA PLACE
SOUTH ORANGE
NJ
07079
1
1
0
0
President and CEO
Common Stock
2019-08-22
4
P
0
2000
6.9227
A
118933
D
Common Stock
8185
I
By UTMA #1
Common Stock
7907
I
By UTMA #2
Common Stock
888
I
By UTMA #3
Common Stock
888
I
By UTMA #4
Common Stock
6111
I
By PoC Capital, LLC
Stock Option (Right to Buy)
4.14
2024-03-26
Common Stock
8374
8374
D
Stock Option (Right to Buy)
5.40
2025-04-15
Common Stock
145614
145614
D
Stock Option (Right to Buy)
4.50
2027-12-20
Common Stock
93014
93014
D
Common Stock Warrants (Right to Buy)
2.70
2016-06-03
2021-06-03
Common Stock
1112
1112
I
By UTMA #1
Common Stock Warrants (Right to Buy)
2.70
2016-06-03
2021-06-03
Common Stock
1112
1112
I
By UTMA #2
Common Stock Warrants (Right to Buy)
2.70
2017-03-17
2022-03-17
Common Stock
4630
4630
I
By UTMA #1
Common Stock Warrants (Right to Buy)
2.70
2017-03-17
2022-03-17
Common Stock
4630
4630
I
By UTMA #2
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 up to 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 upon the approval of the listing of the Company's common stock on the Nasdaq Stock Market; and options to purchase 121,345 shares will vest, if ever, upon the Company's achievement of certain annual revenue milestones as specified in that certain Employment Agreement dated 4/15/15 between the Reporting Person and the Company. The Company achieved the $3,000,000 annual revenue milestone in fiscal year 2017 and options to purchase 24,269 shares vested on 2/1/18.
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.
/s/ Daron Evans
2019-08-22