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