0000914190-17-000261.txt : 20170828 0000914190-17-000261.hdr.sgml : 20170828 20170828165333 ACCESSION NUMBER: 0000914190-17-000261 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170616 FILED AS OF DATE: 20170828 DATE AS OF CHANGE: 20170828 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: 171055105 MAIL ADDRESS: STREET 1: 1350 WEST FULLERTON AVENUE STREET 2: #501 CITY: CHICAGO STATE: IL ZIP: 60614 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: 41 GRAND AVENUE CITY: RIVER EDGE, STATE: NJ ZIP: 07661 BUSINESS PHONE: 201.343.5202 MAIL ADDRESS: STREET 1: 41 GRAND AVENUE CITY: RIVER EDGE, STATE: NJ ZIP: 07661 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-06-16 0001196298 NEPHROS INC NEPH 0001698052 Astor Andrew C/O NEPHROS, INC. 41 GRAND AVENUE RIVER EDGE NJ 07661 0 1 0 0 Chief Financial Officer Common Stock 2017-06-16 4 L 0 43 .265 A 186709 D Common Stock 2017-08-28 4 P 0 6000 .27 A 192709 D Common Stock 2017-08-28 4 P 0 4000 .2729 A 196709 D Stock Option (right to buy) .293 2027-05-01 Common Stock 209355 209355 D On 5/1/17, the Reporting Person was granted an option to purchase up to 418,709 shares of common stock of the Company. 12.5% of the shares subject to the option (relating to a total of 52,339 shares) vest on 5/1/18; 37.5% of the shares subject to the option (relating to a total of 157,016 shares) vest quarterly in 12 equal amounts, commencing on 7/1/18; 10% of the shares subject to the option (relating to a total of 41,871 shares) will vest, if ever, on the February 1st following the Company's first completed fiscal year in which annual revenue exceeds (continued) $6,000,000; 20% of the shares subject to the option (relating to a total of 83,742 shares) will vest, if ever, on the February 1st following the Company's first completed fiscal year in which annual revenue exceeds $10,000,000; and 20% (relating to a total of 83,742 shares) will vest, if ever, upon approval of listing of the Company's common stock on the NASDAQ Stock Market, New York Stock Exchange or such other national securities exchange approved by the Board. /s/ Christopher Melsha as attorney-in-fact for Andrew Astor pursuant to power of attorney previously filed. 2017-08-28