0001437749-21-028832.txt : 20211216 0001437749-21-028832.hdr.sgml : 20211216 20211216211603 ACCESSION NUMBER: 0001437749-21-028832 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211214 FILED AS OF DATE: 20211216 DATE AS OF CHANGE: 20211216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Astor Andrew CENTRAL INDEX KEY: 0001698052 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32288 FILM NUMBER: 211499334 MAIL ADDRESS: STREET 1: 380 LACKAWANNA PLACE CITY: SOUTH ORANGE STATE: NJ ZIP: 07079 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 rdgdoc.xml FORM 4 X0306 4 2021-12-14 0001196298 NEPHROS INC NEPH 0001698052 Astor Andrew C/O NEPHROS, INC. 380 LACKAWANNA PLACE SOUTH ORANGE NJ 07079 1 1 President & CEO Common Stock 77958 D Warrants (right to buy) 2.7000 2017-03-17 2022-03-17 Common Stock 14815 14815 D Stock Option (right to buy) 4.1400 2027-02-13 Common Stock 64399 64399 D Stock Option (right to buy) 2.6400 2027-05-01 Common Stock 46525 46525 D Stock Option (right to buy) 4.5000 2027-12-20 Common Stock 5556 5556 D Stock Option (right to buy) 5.8500 2028-12-19 Common Stock 22223 22223 D Stock Option (right to buy) 8.3000 2029-12-16 Common Stock 20000 20000 D Stock Option (right to buy) 7.0700 2030-08-24 Common Stock 152064 152064 D Stock Option (right to buy) 6.82 2021-12-14 4 A 0 38612 0 A 2031-12-14 Common Stock 38612 38612 D 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. On 12/14/21, the Reporting Person was granted an option to purchase 38,612 shares of common stock of the Company. Options to purchase 9,653 shares vest on 12/14/22 and options to purchase 28,959 shares vest quarterly in 12 equal amounts commencing on 3/14/23. /s/ Christopher Melsha as attorney-in-fact for Andrew Astor pursuant to Power of Attorney previously filed. 2021-12-16