Andrew Astor - Aug 17, 2021 Form 4 Insider Report for NEPHROS INC (NEPH)

Role
President & CEO, Director
Signature
/s/ Christopher Melsha as attorney-in-fact for Andrew Astor pursuant to Power of Attorney previously filed.
Stock symbol
NEPH
Transactions as of
Aug 17, 2021
Transactions value $
$38,605
Form type
4
Date filed
8/18/2021, 06:08 PM
Next filing
Dec 16, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NEPH Common Stock Purchase $19.2K +2.5K +3.43% $7.67* 75.5K Aug 17, 2021 Direct F1
transaction NEPH Common Stock Purchase $19.4K +2.5K +3.31% $7.77* 78K Aug 18, 2021 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding NEPH Warrants (right to buy) 14.8K Aug 17, 2021 Common Stock 14.8K $2.70 Direct
holding NEPH Stock Option (right to buy) 64.4K Aug 17, 2021 Common Stock 64.4K $4.14 Direct F3
holding NEPH Stock Option (right to buy) 46.5K Aug 17, 2021 Common Stock 46.5K $2.64 Direct F4
holding NEPH Stock Option (right to buy) 5.56K Aug 17, 2021 Common Stock 5.56K $4.50 Direct F5
holding NEPH Stock Option (right to buy) 22.2K Aug 17, 2021 Common Stock 22.2K $5.85 Direct F6
holding NEPH Stock Option (right to buy) 20K Aug 17, 2021 Common Stock 20K $8.30 Direct F7
holding NEPH Stock Option (right to buy) 152K Aug 17, 2021 Common Stock 152K $7.07 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.66 to $7.6699. The reporting person undertakes to provide the Company, any security holder of the Company. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F2 The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.60 to $7.85. The reporting person undertakes to provide the Company, any security holder of the Company. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F3 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.
F4 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.
F5 On 12/20/17, the Reporting Person was granted an option to purchase 5,556 shares of common stock of the Company. Options to purchase 1,389 shares vested on 12/20/18 and options to purchase 4,167 shares vest quarterly in 12 equal amounts commencing on 3/20/19.
F6 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.
F7 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.
F8 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.