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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
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2022-03-05 </periodOfReport>
<issuer>
<issuerCik> 0001196298 </issuerCik>
<issuerName> NEPHROS INC </issuerName>
<issuerTradingSymbol> NEPH </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001698052 </rptOwnerCik>
<rptOwnerName> Astor Andrew </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O NEPHROS, INC. </rptOwnerStreet1>
<rptOwnerStreet2> 380 LACKAWANNA PLACE </rptOwnerStreet2>
<rptOwnerCity> SOUTH ORANGE </rptOwnerCity>
<rptOwnerState> NJ </rptOwnerState>
<rptOwnerZipCode> 07079 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 1 </isDirector>
<isOfficer> 1 </isOfficer>
<officerTitle> President, CEO & CFO </officerTitle>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2022-03-05 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 14815 </value>
</transactionShares>
<transactionPricePerShare>
<value> 2.70 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 92773 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
</nonDerivativeTable>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> Warrants (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 2.70 </value>
</conversionOrExercisePrice>
<transactionDate>
<value> 2022-03-05 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 14815 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<value> 2017-03-17 </value>
</exerciseDate>
<expirationDate>
<value> 2022-03-17 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 14815 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 0 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
<derivativeHolding>
<securityTitle>
<value> Stock Option (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 4.1400 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F1"/>
</exerciseDate>
<expirationDate>
<value> 2027-02-13 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 64399 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 64399 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeHolding>
<securityTitle>
<value> Stock Option (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 2.6400 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F2"/>
</exerciseDate>
<expirationDate>
<value> 2027-05-01 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 46525 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 46525 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeHolding>
<securityTitle>
<value> Stock Option (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 4.5000 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F3"/>
</exerciseDate>
<expirationDate>
<value> 2027-12-20 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 5556 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 5556 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeHolding>
<securityTitle>
<value> Stock Option (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 5.8500 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F4"/>
</exerciseDate>
<expirationDate>
<value> 2028-12-19 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 22223 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 22223 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeHolding>
<securityTitle>
<value> Stock Option (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 8.3000 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F5"/>
</exerciseDate>
<expirationDate>
<value> 2029-12-16 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 20000 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 20000 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeHolding>
<securityTitle>
<value> Stock Option (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 7.0700 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F6"/>
</exerciseDate>
<expirationDate>
<value> 2030-08-24 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 152064 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 152064 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
<derivativeHolding>
<securityTitle>
<value> Stock Option (right to buy) </value>
</securityTitle>
<conversionOrExercisePrice>
<value> 6.8200 </value>
</conversionOrExercisePrice>
<exerciseDate>
<footnoteId id="F7"/>
</exerciseDate>
<expirationDate>
<value> 2031-12-14 </value>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 38612 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 38612 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
</derivativeTable>
<footnotes>
<footnote id="F1"> 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. </footnote>
<footnote id="F2"> 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. </footnote>
<footnote id="F3"> 100% vested. </footnote>
<footnote id="F4"> 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. </footnote>
<footnote id="F5"> 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. </footnote>
<footnote id="F6"> 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. </footnote>
<footnote id="F7"> 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. </footnote>
</footnotes>
<ownerSignature>
<signatureName> /s/ Christopher Melsha as attorney-in-fact for Andrew Astor pursuant to Power of Attorney previously filed. </signatureName>
<signatureDate> 2022-03-07 </signatureDate>
</ownerSignature>
</ownershipDocument>


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