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