NEPH

SEC source: 0000914190-21-000007 · edgar.xml · derivative · entry 5

Spandow Oliver J. · CIK 0001749836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,850

Underlying: Common Stock · 6,850 shares

Expires 2031-01-06

F4 · derivative.exercise_date: Represents options granted to the reporting person for his service on the Company's Board of Directors. This option vests as to 2,284 shares on 1/6/21 and as to 2,283 shares on each of 1/6/22 and 1/6/23.

SEC source: 0000914190-21-000007 · edgar.xml · nonDerivative · entry 1

Spandow Oliver J. · CIK 0001749836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,400

F1 · shares: Represents shares of restricted stock granted to the reporting person in lieu of cash fees payable to the reporting person for his service on the Company's Board of Directors. These shares of restricted stock vest 6 months following the grant date.

SEC source: 0000914190-20-000420 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,958

SEC source: 0000914190-20-000423 · edgar.xml · nonDerivative · entry 1

Spandow Oliver J. · CIK 0001749836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,734

SEC source: 0001048462-20-000017 · form4.xml · nonDerivative · entry 1

WEXFORD CAPITAL LP · CIK 0001048462 · Director · 10% owner

Wexford GP LLC · CIK 0001472112 · Director · 10% owner

DAVIDSON CHARLES E · CIK 0001001391 · Director · 10% owner

JACOBS JOSEPH · CIK 0001048485 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,605,471

F1 · shares: Represents the common stock of the Issuer acquired by Wexford Spectrum Trading Limited ("WST") in a registered direct offering, as described in the Issuer's Form 8-K, filed by the Issuer with the U.S. Securities and Exchange Commission on October 16, 2020.

F2 · balance_after: Represents the common stock of the Issuer held in the aggregate by WST, Wexford Partners 11, L.P., ("WP11"), WPIC 2 LLC ("WPIC2", and together with WP11 and WST, the "Wexford Entities") and Wexford Capital LP ("Wexford Capital").

F4 · ownership.nature: Wexford Capital may, by reason of its status as (i) sub-advisor of WST, (ii) investment manager of WP11 and (iii) manager of WPIC2, be deemed to own beneficially the securities held by the Wexford Entities. Wexford GP LLC ("Wexford GP") may, as the General Partner of Wexford Capital, be deemed to own beneficially the securities held by the Wexford Entities. Each of Charles E. Davidson ("Davidson") and Joseph M. Jacobs ("Jacobs", and together with Wexford Capital, Wexford GP and Davidson, the "Reporting Persons") may, by reason of his status as a controlling person of Wexford GP and Wexford Advisors, be deemed to own beneficially the securities held by the Wexford Entities and Wexford Advisors.

F5 · ownership.nature: Each of Wexford Capital, Wexford GP, Davidson and Jacobs share the power to vote and to dispose of the securities beneficially owned by the Wexford Entities. Each of Davidson and Jacobs share the power to vote and to dispose of the securities beneficially owned by Wexford Advisors. Each of Wexford Capital, Wexford GP, Davidson and Jacobs disclaim beneficial ownership of the securities owned by the Wexford Entities and/or Wexford Advisors, as applicable, and this report shall not be deemed as an admission that they are the beneficial owners of such securities, except to the extent of any pecuniary interests therein. The Reporting Persons may be deemed to be directors by deputization by virtue of Arthur Amron and Paul Mieyal, each an employee of Wexford Capital, serving as directors of the Issuer.

SEC source: 0000914190-20-000355 · edgar.xml · derivative · entry 8

Astor Andrew · CIK 0001698052 · Director · President/CEO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,064

Underlying: Common Stock · 152,064 shares

Expires 2030-08-24

F6 · derivative.exercise_date: 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.

SEC source: 0000914190-20-000331 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · Director · COO/CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,958

SEC source: 0000914190-20-000192 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,008

SEC source: 0000914190-20-000169 · edgar.xml · derivative · entry 3

PERSEN MALCOLM C · CIK 0001287975 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 0

Underlying: Common Stock · 1,732 shares

Expires 2020-05-18

SEC source: 0000914190-20-000169 · edgar.xml · nonDerivative · entry 2

PERSEN MALCOLM C · CIK 0001287975 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 5,194

SEC source: 0000914190-20-000112 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,008

SEC source: 0000914190-20-000113 · edgar.xml · nonDerivative · entry 1

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,215

SEC source: 0000914190-20-000105 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,008

SEC source: 0000914190-20-000107 · edgar.xml · nonDerivative · entry 1

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,715

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.40 to $8.4567. The reporting person undertakes to provide Nephros, Inc., any security holder of Nephros, Inc. 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.

SEC source: 0000914190-20-000042 · edgar.xml · derivative · entry 4

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,525

Underlying: Common Stock · 13,958 shares

Expires 2027-05-01

F2 · derivative.exercise_date: On 5/1/17, the Reporting Person was granted an option to purchase up to 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; options to purchase 4,653 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 9,305 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 9,305 shares vested upon approval of listing of the Company's common stock on the Nasdaq Stock Market. The Company achieved both the $6,000,000 and $10,000,000 annual revenue milestones in fiscal year 2019 and 13,958 shares vested on 2/1/20.

SEC source: 0000914190-20-000042 · edgar.xml · derivative · entry 3

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,399

Underlying: Common Stock · 19,320 shares

Expires 2027-02-13

F1 · derivative.exercise_date: On 2/13/17, the Reporting Person was granted an option to purchase up to 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; options to purchase 12,880 shares vested upon approval of listing of the Company's common stock on the Nasdaq Stock Market; options to purchase 6,440 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 12,880 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $10,000,000. The Company achieved both the $6,000,000 and $10,000,000 annual revenue milestones in fiscal year 2019 and 19,320 shares vested on 2/1/20.

SEC source: 0000914190-20-000041 · edgar.xml · derivative · entry 8

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,690

Underlying: Common Stock · 97,076 shares

Expires 2025-04-15

F3 · derivative.exercise_date: On 4/15/15, the Reporting Person was granted an option to purchase up to 242,690 shares of common stock of the Company. Options to purchase 84,941 shares vest quarterly in 16 equal amounts commencing on 6/30/15; options to purchase 36,404 shares vested upon the approval of the listing of the Company's common stock on the Nasdaq Stock Market; and options to purchase 121,345 shares will vest, if ever, upon the Company's achievement of certain annual revenue milestones as specified in that certain Employment Agreement dated 4/15/15 between the Reporting Person and the Company. The Company achieved the $3,000,000 annual revenue milestone in fiscal year 2017 and options to purchase 24,269 shares vested on 2/1/18. The Company achieved both the $6,000,000 and $10,000,000 annual revenue milestones in fiscal year 2019 and 97,076 shares vested on 2/1/20.

SEC source: 0000914190-19-000502 · edgar.xml · derivative · entry 2

AMRON ARTHUR H · CIK 0001179697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,568

Underlying: Common Stock · 5,568 shares

Expires 2029-12-16

F2 · derivative.exercise_date: On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Mr. Amron as a member of the Board of Directors of the Company. The Option was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). At the request of Mr. Amron, the Option was granted to Wexford Capital LP. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.

F2 · ownership.direct: On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Mr. Amron as a member of the Board of Directors of the Company. The Option was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). At the request of Mr. Amron, the Option was granted to Wexford Capital LP. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.

SEC source: 0000914190-19-000502 · edgar.xml · nonDerivative · entry 1

AMRON ARTHUR H · CIK 0001179697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,448

F1 · shares: On December 16, 2019, the Company granted 3,448 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Mr. Amron in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). At the request of Mr. Amron, the Restricted Stock was granted to Wexford Capital LP. The Restricted Stock vests 6 months following the grant date.

F1 · ownership.direct: On December 16, 2019, the Company granted 3,448 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Mr. Amron in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). At the request of Mr. Amron, the Restricted Stock was granted to Wexford Capital LP. The Restricted Stock vests 6 months following the grant date.

SEC source: 0000914190-19-000510 · edgar.xml · derivative · entry 7

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-12-16

F6 · derivative.exercise_date: 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.

SEC source: 0000914190-19-000510 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,308

F1 · shares: On December 16, 2019, the Company granted 6,848 shares of restricted stock (the "Restricted Stock") to the Reporting Person in lieu of a cash bonus. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan. The Restricted Stock vests six months following the grant date.

SEC source: 0000914190-19-000501 · edgar.xml · derivative · entry 2

Mieyal Paul A · CIK 0001412471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,568

Underlying: Common Stock · 5,568 shares

Expires 2029-12-16

F2 · derivative.exercise_date: On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Mr. Mieyal as a member of the Board of Directors of the Company. The Option was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). At the request of Mr. Mieyal, the Option was granted to Wexford Capital LP. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.

F2 · ownership.direct: On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Mr. Mieyal as a member of the Board of Directors of the Company. The Option was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). At the request of Mr. Mieyal, the Option was granted to Wexford Capital LP. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.

SEC source: 0000914190-19-000501 · edgar.xml · nonDerivative · entry 1

Mieyal Paul A · CIK 0001412471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,448

F1 · shares: On December 16, 2019, the Company granted 3,448 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Mr. Mieyal in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). At the request of Mr. Mieyal, the Restricted Stock was granted to Wexford Capital LP. The Restricted Stock vests 6 months following the grant date.

F1 · ownership.direct: On December 16, 2019, the Company granted 3,448 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Mr. Mieyal in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). At the request of Mr. Mieyal, the Restricted Stock was granted to Wexford Capital LP. The Restricted Stock vests 6 months following the grant date.

SEC source: 0000914190-19-000509 · edgar.xml · derivative · entry 10

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-12-16

F6 · derivative.exercise_date: 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.

SEC source: 0000914190-19-000509 · edgar.xml · nonDerivative · entry 1

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,215

F1 · shares: On December 16, 2019, the Company granted 9,282 shares of restricted stock (the "Restricted Stock") to the Reporting Person in lieu of a cash bonus. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan. The Restricted Stock vests six months following the grant date.

SEC source: 0000914190-19-000507 · edgar.xml · derivative · entry 4

Spandow Oliver J. · CIK 0001749836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,568

Underlying: Common Stock · 5,568 shares

Expires 2029-12-16

F4 · derivative.exercise_date: On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Mr. Spandow as a member of the Board of Directors of the Company. The Option was granted under the 2015 Plan. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.

SEC source: 0000914190-19-000507 · edgar.xml · nonDerivative · entry 1

Spandow Oliver J. · CIK 0001749836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,234

F1 · shares: On December 16, 2019, the Company granted 3,448 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Mr. Spandow in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). The Restricted Stock vests 6 months following the grant date.

SEC source: 0000914190-19-000505 · edgar.xml · derivative · entry 8

PERSEN MALCOLM C · CIK 0001287975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,568

Underlying: Common Stock · 5,568 shares

Expires 2029-12-16

F5 · derivative.exercise_date: On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Mr. Persen as a member of the Board of Directors of the Company. The Option was granted under the 2015 Plan. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.

SEC source: 0000914190-19-000505 · edgar.xml · nonDerivative · entry 1

PERSEN MALCOLM C · CIK 0001287975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,853

F1 · shares: On December 16, 2019, the Company granted 5,437 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Mr. Persen in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). The Restricted Stock vests 6 months following the grant date.

SEC source: 0000914190-19-000508 · edgar.xml · derivative · entry 3

Lask Alisa · CIK 0001767593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,568

Underlying: Common Stock · 5,568 shares

Expires 2029-12-16

F3 · derivative.exercise_date: On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Ms. Lask as a member of the Board of Directors of the Company. The Option was granted under the 2015 Plan. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.

SEC source: 0000914190-19-000508 · edgar.xml · nonDerivative · entry 1

Lask Alisa · CIK 0001767593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,477

F1 · shares: On December 16, 2019, the Company granted 3,227 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Ms. Lask in respect of her services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). The Restricted Stock vests 6 months following the grant date.

SEC source: 0000914190-19-000506 · edgar.xml · derivative · entry 3

Gwydir Tom · CIK 0001775308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,568

Underlying: Common Stock · 5,568 shares

Expires 2029-12-16

F3 · derivative.exercise_date: On December 16, 2019, the Company granted an option to purchase 5,568 shares of common stock of the Company (the "Option") in respect of the service by Mr. Gwydir as a member of the Board of Directors of the Company. The Option was granted under the 2015 Plan. The Option vests as to 1,856 shares on each of 12/16/19, 12/16/20 and 12/16/21.

SEC source: 0000914190-19-000506 · edgar.xml · nonDerivative · entry 1

Gwydir Tom · CIK 0001775308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,365

F1 · shares: On December 16, 2019, the Company granted 2,365 shares of restricted stock of the Company (the "Restricted Stock") in lieu of cash fees payable to Mr. Gwydir in respect of his services as a member of the Board of Directors of the Company. The Restricted Stock was granted under the Company's 2015 Equity Incentive Plan (the "2015 Plan"). The Restricted Stock vests 6 months following the grant date.

SEC source: 0000914190-19-000424 · edgar.xml · nonDerivative · entry 1

Spandow Oliver J. · CIK 0001749836 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,786

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.079 to $8.50. The reporting person undertakes to provide Nephros, Inc., any security holder of Nephros, Inc. 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.

SEC source: 0000914190-19-000417 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,460

SEC source: 0000914190-19-000416 · edgar.xml · nonDerivative · entry 1

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,933

SEC source: 0000914190-19-000377 · edgar.xml · nonDerivative · entry 1

Lask Alisa · CIK 0001767593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250

SEC source: 0000914190-19-000337 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,710

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.9675 to $6.9725. 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.

SEC source: 0000914190-19-000336 · edgar.xml · nonDerivative · entry 1

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,933

SEC source: 0000914190-19-000295 · edgar.xml · derivative · entry 4

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,567

Underlying: Common Stock · 9,305 shares

Expires 2027-05-01

F2 · derivative.exercise_date: On 5/1/17, the Reporting Person was granted an option to purchase up to 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; options to purchase 4,655 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 9,305 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 9,305 shares vested 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.

SEC source: 0000914190-19-000295 · edgar.xml · derivative · entry 3

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,079

Underlying: Common Stock · 12,880 shares

Expires 2027-02-13

F1 · derivative.exercise_date: On 2/13/17, the Reporting Person was granted an option to purchase up to 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; options to purchase 12,880 shares vested upon approval of listing of the Company's common stock on the Nasdaq Stock Market; options to purchase 6,440 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 12,880 shares will vest, if ever, on 2/1 following the Company's first completed fiscal year in which annual revenue exceeds $10,000,000.

SEC source: 0000914190-19-000294 · edgar.xml · derivative · entry 8

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,614

Underlying: Common Stock · 36,404 shares

Expires 2025-04-15

F3 · derivative.exercise_date: On 4/15/15, the Reporting Person was granted an option to purchase up to 242,690 shares of common stock of the Company. Options to purchase 84,941 shares vest quarterly in 16 equal amounts commencing on 6/30/15; options to purchase 36,404 shares vested upon the approval of the listing of the Company's common stock on the Nasdaq Stock Market; and options to purchase 121,345 shares will vest, if ever, upon the Company's achievement of certain annual revenue milestones as specified in that certain Employment Agreement dated 4/15/15 between the Reporting Person and the Company. The Company achieved the $3,000,000 annual revenue milestone in fiscal year 2017 and options to purchase 24,269 shares vested on 2/1/18.

SEC source: 0000914190-19-000213 · edgar.xml · nonDerivative · entry 1

Astor Andrew · CIK 0001698052 · CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 532,903

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.62 to $0.65. The reporting person undertakes to provide Nephros, Inc., any security holder of Nephros, Inc. 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 · balance_after: Includes 44,111 shares of restricted stock that vest on 6/14/19.

SEC source: 0000914190-19-000212 · edgar.xml · nonDerivative · entry 5

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTMA #4

Disclosed balance after: 8,000

F6 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.5925 to $0.6085. The reporting person undertakes to provide Nephros, Inc., any security holder of Nephros, Inc. 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.

SEC source: 0000914190-19-000212 · edgar.xml · nonDerivative · entry 4

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTMA #3

Disclosed balance after: 8,000

F5 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.605 to $0.61. The reporting person undertakes to provide Nephros, Inc., any security holder of Nephros, Inc. 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.

SEC source: 0000914190-19-000212 · edgar.xml · nonDerivative · entry 3

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTMA #2

Disclosed balance after: 71,166

SEC source: 0000914190-19-000212 · edgar.xml · nonDerivative · entry 2

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTMA #1

Disclosed balance after: 73,666

F4 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.521 to $0.59. The reporting person undertakes to provide Nephros, Inc., any security holder of Nephros, Inc. 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.

SEC source: 0000914190-19-000212 · edgar.xml · nonDerivative · entry 1

Evans Daron · CIK 0001411726 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,052,426

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.59 to $0.60. The reporting person undertakes to provide Nephros, Inc., any security holder of Nephros, Inc. 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 · balance_after: Includes 108,296 shares of restricted stock that vest on 6/14/19.

SEC source: 0000914190-19-000136 · edgar.xml · derivative · entry 1

Gwydir Tom · CIK 0001775308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,641

Underlying: Common Stock · 86,641 shares

Expires 2029-04-29

F1 · derivative.exercise_date: On April 29, 2019, the Company granted to Mr. Gwydir an option to purchase 86,641shares of common stock of the Company, of which one-third vested immediately upon the grant date, one-third will vest on the first anniversary of the grant date, and the remaining one-third will vest on the second anniversary of the grant date.

SEC source: 0000914190-19-000023 · edgar.xml · derivative · entry 1

Lask Alisa · CIK 0001767593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,817

Underlying: Common Stock · 70,817 shares

Expires 2029-02-08

F1 · derivative.exercise_date: On February 8, 2019, the Company granted to Ms. Lask an option to purchase 70,817 shares of common stock of the Company, of which one-third vested immediately upon the grant date, one-third will vest on the first anniversary of the grant date, and the remaining one-third will vest on the second anniversary of the grant date.