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Astor Andrew – ‘4’ for 3/5/22 re: Nephros Inc.

On:  Monday, 3/7/22, at 5:44pm ET   ·   For:  3/5/22   ·   Accession #:  1437749-22-5408   ·   File #:  1-32288

Previous ‘4’:  ‘4’ on 12/16/21 for 12/14/21   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/07/22  Astor Andrew                      4                      1:12K  Nephros Inc.                      RDG Filings/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- rdgdoc.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Astor Andrew
(Last)(First)(Middle)
C/O NEPHROS, INC.
380 LACKAWANNA PLACE
(Street)
SOUTH ORANGENJ07079
(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
NEPHROS INC [ NEPH ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector 10% Owner
XOfficer (give title below) Other (specify below)
President, CEO & CFO
3. Date of Earliest Transaction (Month/Day/Year)
3/5/22
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock 3/5/22 M 14,815A$2.792,773D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Warrants (right to buy)$2.7 3/5/22 M 14,815 3/17/17 3/17/22Common Stock14,815$00D
Stock Option (right to buy)$4.14 (1) 2/13/27Common Stock64,399 64,399D
Stock Option (right to buy)$2.64 (2) 5/1/27Common Stock46,525 46,525D
Stock Option (right to buy)$4.5 (3) 12/20/27Common Stock5,556 5,556D
Stock Option (right to buy)$5.85 (4) 12/19/28Common Stock22,223 22,223D
Stock Option (right to buy)$8.3 (5) 12/16/29Common Stock20,000 20,000D
Stock Option (right to buy)$7.07 (6) 8/24/30Common Stock152,064 152,064D
Stock Option (right to buy)$6.82 (7) 12/14/31Common Stock38,612 38,612D
Explanation of Responses:
(1)  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.
(2)  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.
(3)  100% vested.
(4)  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.
(5)  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.
(6)  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.
(7)  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. 3/7/22
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
____________
Transaction Code:
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

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