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Filing Details

Accession Number:: 0000914190-19-000417
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-11-18 12:13:18
Reporting Period:: 2019-11-18

Accepted Time:: 2019-11-18 12:13:18
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	Cfo/Coo	No	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	2019-11-18	750	$8.38	61,460	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
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	45,079	45,079	Direct
Common Stock	Stock Option (right to buy)	$2.64		2027-05-01	32,567	32,567	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

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2022-03-17	14,815	14,815	Direct
2027-02-13	45,079	45,079	Direct
2027-05-01	32,567	32,567	Direct
2027-12-20	5,556	5,556	Direct
2028-12-19	22,223	22,223	Direct

Footnotes

On 2/13/17, the Reporting Person was granted an option to purchase up to 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; options to purchase 12,880 shares vested upon approval of listing of the Company's common stock on the Nasdaq Stock Market; options to purchase 6,440 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $6,000,000; and options to purchase 12,880 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $10,000,000.
On 5/1/17, the Reporting Person was granted an option to purchase up to 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; options to purchase 4,655 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $6,000,000; options to purchase 9,305 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $10,000,000; and options to purchase 9,305 shares vested upon approval of listing of the Company's common stock on the Nasdaq Stock Market.
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 vest on 12/19/19 and options to purchase 16,668 shares vest quarterly in 12 equal amounts commencing on 3/19/20.