0000914190-18-000586.txt : 20181221
0000914190-18-000586.hdr.sgml : 20181221
20181221165456
ACCESSION NUMBER: 0000914190-18-000586
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181219
FILED AS OF DATE: 20181221
DATE AS OF CHANGE: 20181221
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: 181250258
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: 380 LACKAWANNA PLACE
CITY: SOUTH ORANGE
STATE: NJ
ZIP: 07079
BUSINESS PHONE: 201.343.5202
MAIL ADDRESS:
STREET 1: 380 LACKAWANNA PLACE
CITY: SOUTH ORANGE
STATE: NJ
ZIP: 07079
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2018-12-19
0001196298
NEPHROS INC
NEPH
0001698052
Astor Andrew
C/O NEPHROS, INC.
380 LACKAWANNA PLACE
SOUTH ORANGE
NJ
07079
0
1
0
0
CFO/COO
Common Stock
497903
D
Warrants (right to buy)
.30
2017-03-17
2022-03-17
Common Stock
133333
133333
D
Stock Option (right to buy)
.4599
2027-02-13
Common Stock
289785
289785
D
Stock Option (right to buy)
.293
2027-05-01
Common Stock
209355
209355
D
Stock Option (right to buy)
.4999
2027-12-20
Common Stock
50000
50000
D
Stock Option (right to buy)
.65
2018-12-19
4
A
0
200000
0
A
2028-12-19
Common Stock
200000
200000
D
Includes 44,111 shares of restricted stock that vest on 6/14/19.
On 2/13/17, the Reporting Person was granted an option to purchase up to 579,571 shares of common stock of the Company. Options to purchase 72,446 shares vested on 2/13/18; options to purchase 217,339 shares vest quarterly in 12 equal amounts commencing on 5/13/18; options to purchase 115,914 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; options to purchase 57,957 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 115,914 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 418,709 shares of common stock of the Company. Options to purchase 52,339 shares vested on 5/1/18; options to purchase 157,016 shares vest quarterly in 12 equal amounts commencing on 7/1/18; options to purchase 41,871 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 83,742 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 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.
On 12/20/17, the Reporting Person was granted an option to purchase 50,000 shares of common stock of the Company. Options to purchase 12,500 shares vested on 12/20/18 and options to purchase 37,500 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 200,000 shares of common stock of the Company. Options to purchase 50,000 shares vest on 12/19/19 and options to purchase 150,000 shares vest quarterly in 12 equal amounts commencing on 3/19/20.
/s/ Amanda Lorentz as attorney-in-fact for Andrew Astor pursuant to Power of Attorney previously filed.
2018-12-21