Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NEPHROS INCNEPH · Entity 7279 | Director · President, CEO & CFO | March 05, 2022 | March 07, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NEPHROS INC
Report date March 05, 2022 · Filed March 07, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 92,773 |
Reported balance
After 2022-03-05 transaction · row 1
1 source rowRow 1 · 2022-03-05 · Exercise / conversion · Acquired 14,815 · Balance 92,773 |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.70 · Expires 2022-03-17 | Direct | 0 |
Reported balance
After 2022-03-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-03-05 · Exercise / conversion · Disposed 14,815 · Balance 0 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.14 · Expires 2027-02-13 | Direct | 64,399 |
Reported balance
Holding disclosure · report date 2022-03-05 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 64,399 F1: 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.64 · Expires 2027-05-01 | Direct | 46,525 |
Reported balance
Holding disclosure · report date 2022-03-05 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 46,525 F2: 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.50 · Expires 2027-12-20 | Direct | 5,556 |
Reported balance
Holding disclosure · report date 2022-03-05 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 5,556 F3: 100% vested. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.85 · Expires 2028-12-19 | Direct | 22,223 |
Reported balance
Holding disclosure · report date 2022-03-05 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 22,223 F4: 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.30 · Expires 2029-12-16 | Direct | 20,000 |
Reported balance
Holding disclosure · report date 2022-03-05 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 20,000 F5: 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.07 · Expires 2030-08-24 | Direct | 152,064 |
Reported balance
Holding disclosure · report date 2022-03-05 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 152,064 F6: 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.82 · Expires 2031-12-14 | Direct | 38,612 |
Reported balance
Holding disclosure · report date 2022-03-05 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 38,612 F7: On 12/14/21, the Reporting Person was granted an option to purchase 38,612 shares of common stock of the Company. Options to purchase 9,653 shares vest on 12/14/22 and options to purchase 28,959 shares vest quarterly in 12 equal amounts commencing on 3/14/23. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
F3: 100% vested.
F4: 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.
F5: 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.
F6: 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.
F7: On 12/14/21, the Reporting Person was granted an option to purchase 38,612 shares of common stock of the Company. Options to purchase 9,653 shares vest on 12/14/22 and options to purchase 28,959 shares vest quarterly in 12 equal amounts commencing on 3/14/23.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 05, 2022 Filed Mar 7, 2022 17:44 UTC | NEPHROS INC NEPH · Entity 7279 | Exercise / conversionWarrants (right to buy) · Derivative | 14,815 | $0.00 Strike: $2.70 | $0.00 |
DisclosureSEC source: 0001437749-22-005408 · rdgdoc.xml · derivative · entry 2 Astor Andrew · CIK 0001698052 · Director · President, CEO & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,815 shares Expires 2022-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 05, 2022 Filed Mar 7, 2022 17:44 UTC | NEPHROS INC NEPH · Entity 7279 | Exercise / conversionCommon Stock | 14,815 | $2.70 | $40,000.50 |
DisclosureSEC source: 0001437749-22-005408 · rdgdoc.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Director · President, CEO & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,773 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 14, 2021 Filed Dec 16, 2021 21:16 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 38,612 | $0.00 Strike: $6.82 | $0.00 |
DisclosureSEC source: 0001437749-21-028832 · rdgdoc.xml · derivative · entry 9 Astor Andrew · CIK 0001698052 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,612 Underlying: Common Stock · 38,612 shares Expires 2031-12-14 F7 · derivative.exercise_date: On 12/14/21, the Reporting Person was granted an option to purchase 38,612 shares of common stock of the Company. Options to purchase 9,653 shares vest on 12/14/22 and options to purchase 28,959 shares vest quarterly in 12 equal amounts commencing on 3/14/23. Read SEC document |
| August 18, 2021 Filed Aug 18, 2021 18:08 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 2,500 | $7.77 | $19,433.25 |
DisclosureSEC source: 0000914190-21-000282 · edgar.xml · nonDerivative · entry 2 Astor Andrew · CIK 0001698052 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,958 F2 · price: 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. Read SEC document |
| August 17, 2021 Filed Aug 18, 2021 18:08 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 2,500 | $7.67 | $19,171.75 |
DisclosureSEC source: 0000914190-21-000282 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,458 F1 · price: 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. Read SEC document |
| November 19, 2020 Filed Nov 19, 2020 18:17 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 1,000 | $5.87 | $5,866.90 |
DisclosureSEC 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 Read SEC document |
| August 24, 2020 Filed Aug 26, 2020 16:33 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 152,064 | $0.00 Strike: $7.07 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 19, 2020 Filed Aug 19, 2020 18:22 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 950 | $7.40 | $7,030.00 |
DisclosureSEC 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 Read SEC document |
| May 28, 2020 Filed May 29, 2020 18:08 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 1,000 | $6.96 | $6,960.00 |
DisclosureSEC 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 Read SEC document |
| March 12, 2020 Filed Mar 12, 2020 16:50 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 1,000 | $6.70 | $6,700.00 |
DisclosureSEC 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 Read SEC document |
| March 05, 2020 Filed Mar 5, 2020 17:10 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 700 | $8.46 | $5,919.69 |
DisclosureSEC 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 Read SEC document |
| February 01, 2020 Filed Feb 5, 2020 17:14 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 13,958 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 01, 2020 Filed Feb 5, 2020 17:14 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 19,320 | $0.00 Strike: $4.14 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 17:14 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $8.30 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 16, 2019 Filed Dec 18, 2019 17:14 UTC | NEPHROS INC NEPH · Entity 7279 | GrantCommon Stock | 6,848 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 18, 2019 Filed Nov 18, 2019 12:13 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 750 | $8.38 | $6,281.70 |
DisclosureSEC 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 Read SEC document |
| August 22, 2019 Filed Aug 22, 2019 16:37 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 1,500 | $6.97 | $10,455.00 |
DisclosureSEC 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. Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 18:09 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 9,305 | $0.00 Strike: $2.64 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 18:09 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 12,880 | $0.00 Strike: $4.14 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 12:35 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 35,000 | $0.64 | $22,400.00 |
DisclosureSEC 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. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 16:54 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $0.65 | $0.00 |
DisclosureSEC source: 0000914190-18-000586 · edgar.xml · derivative · entry 6 Astor Andrew · CIK 0001698052 · CFO/COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2028-12-19 F5 · derivative.exercise_date: 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. Read SEC document |
| December 14, 2018 Filed Dec 18, 2018 17:34 UTC | NEPHROS INC NEPH · Entity 7279 | GrantCommon Stock | 44,111 | $0.00 | $0.00 |
DisclosureSEC source: 0000914190-18-000570 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 497,903 F1 · shares: On December 14, 2018, the Company granted 44,111 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. Read SEC document |
| May 14, 2018 Filed May 14, 2018 16:44 UTC | NEPHROS INC NEPH · Entity 7279 | OtherWarrants (right to buy) · Derivative | 33,333 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0000914190-18-000197 · edgar.xml · derivative · entry 2 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,333 Underlying: Common Stock · 33,333 shares Expires 2022-03-17 Read SEC document |
| May 14, 2018 Filed May 14, 2018 16:44 UTC | NEPHROS INC NEPH · Entity 7279 | OtherCommon Stock | 33,333 | $0.30 | $9,999.90 |
DisclosureSEC source: 0000914190-18-000197 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 453,792 F1 · balance_after: Includes 120,417 shares of restricted stock that vest on 6/20/18. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 16:11 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 80,000 | $0.45 | $36,000.00 |
DisclosureSEC source: 0000914190-18-000137 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,459 F1 · balance_after: Includes 120,417 shares of restricted stock that vest on 6/20/18. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 16:08 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 5,000 | $0.48 | $2,375.00 |
DisclosureSEC source: 0000914190-18-000121 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,459 F1 · balance_after: Includes 120,417 shares of restricted stock (the "Restricted Stock") granted to the Reporting Person on December 20, 2017 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. Read SEC document |
| December 20, 2017 Filed Dec 22, 2017 11:31 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0000914190-17-000389 · edgar.xml · derivative · entry 5 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-12-20 F6 · derivative.exercise_date: On 12/20/17, the Reporting Person was granted an option to purchase 50,000 shares of common stock of the Company. 25% of the shares subject to the option (relating to a total of 12,500 shares) vest on 12/20/18 and the remaining 75% of the shares subject to the option (relating to a total of 37,500 shares) vest quarterly in 12 equal amounts, commencing on 3/20/19. Read SEC document |
| December 20, 2017 Filed Dec 22, 2017 11:31 UTC | NEPHROS INC NEPH · Entity 7279 | GrantCommon Stock | 120,417 | $0.00 | $0.00 |
DisclosureSEC source: 0000914190-17-000389 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,459 F1 · shares: On December 20, 2017, the Company granted 120,417 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. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 16:17 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 8,333 | $0.50 | $4,166.50 |
DisclosureSEC source: 0000914190-17-000377 · edgar.xml · nonDerivative · entry 2 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,042 Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 16:17 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 10,000 | $0.50 | $5,000.00 |
DisclosureSEC source: 0000914190-17-000377 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,709 Read SEC document |
| August 28, 2017 Filed Aug 28, 2017 16:53 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 4,000 | $0.27 | $1,091.60 |
DisclosureSEC source: 0000914190-17-000261 · edgar.xml · nonDerivative · entry 3 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,709 Read SEC document |
| August 28, 2017 Filed Aug 28, 2017 16:53 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 6,000 | $0.27 | $1,620.00 |
DisclosureSEC source: 0000914190-17-000261 · edgar.xml · nonDerivative · entry 2 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,709 Read SEC document |
| August 11, 2017 Filed Aug 11, 2017 17:35 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 20,000 | $0.26 | $5,198.00 |
DisclosureSEC source: 0000914190-17-000235 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,666 Read SEC document |
| June 16, 2017 Filed Aug 28, 2017 16:53 UTC | NEPHROS INC NEPH · Entity 7279 | OtherCommon Stock | 43 | $0.27 | $11.40 |
DisclosureSEC source: 0000914190-17-000261 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,709 Read SEC document |
| May 01, 2017 Filed May 2, 2017 17:01 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 209,355 | $0.00 Strike: $0.29 | $0.00 |
DisclosureSEC source: 0000914190-17-000145 · edgar.xml · derivative · entry 4 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,355 Underlying: Common Stock · 209,355 shares Expires 2017-05-01 F3 · derivative.exercise_date: 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) F4 · derivative.exercise_date: $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. Read SEC document |
| May 01, 2017 Filed May 15, 2017 16:57 UTC Amendment | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 209,355 | $0.00 Strike: $0.29 | $0.00 |
DisclosureSEC source: 0000914190-17-000153 · edgar.xml · derivative · entry 2 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,355 Underlying: Common Stock · 209,355 shares Expires 2027-05-01 F1 · derivative.exercise_date: 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) F2 · derivative.exercise_date: $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. F3 · derivative.expiration_date: This amendment is being filed solely to correct the expiration date. Read SEC document |
| March 17, 2017 Filed Mar 21, 2017 17:52 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseWarrants (right to buy) · Derivative | 166,666 | Not disclosed Strike: $0.30 | Not disclosed |
DisclosureSEC source: 0000914190-17-000113 · edgar.xml · derivative · entry 3 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,666 Underlying: Common Stock · 166,666 shares Expires 2022-03-17 F1 · price: The reported securities have a purchase price of $0.30 per share of Common Stock. In addition, the reporting person received a Warrant to purchase a number of shares of Common Stock equal to 100% of the number of shares of Common Stock otherwise purchased. The reporting person purchased 166,666 shares of Common Stock and was issued a related Warrant to acquire up to 166,666 shares of Common Stock. Read SEC document |
| March 17, 2017 Filed Mar 21, 2017 17:52 UTC | NEPHROS INC NEPH · Entity 7279 | PurchaseCommon Stock | 166,666 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000914190-17-000113 · edgar.xml · nonDerivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,666 F1 · price: The reported securities have a purchase price of $0.30 per share of Common Stock. In addition, the reporting person received a Warrant to purchase a number of shares of Common Stock equal to 100% of the number of shares of Common Stock otherwise purchased. The reporting person purchased 166,666 shares of Common Stock and was issued a related Warrant to acquire up to 166,666 shares of Common Stock. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 16:27 UTC | NEPHROS INC NEPH · Entity 7279 | GrantStock Option (right to buy) · Derivative | 289,785 | $0.00 Strike: $0.46 | $0.00 |
DisclosureSEC source: 0000914190-17-000055 · edgar.xml · derivative · entry 1 Astor Andrew · CIK 0001698052 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,785 Underlying: Common Stock · 289,785 shares Expires 2027-02-13 F1 · derivative.exercise_date: On 2/13/17, the Reporting Person was granted an option to purchase up to 579,571 shares of common stock of the Company. 12.5% of the shares subject to the option (relating to a total of 72,446 shares) vest on 2/13/18; 37.5% of the shares subject to the option (relating to a total of 217,339 shares) vest quarterly in 12 equal amounts, commencing on 5/13/18; 20% of the shares subject to the option (relating to a total of 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; 10% of the shares subject to the option (relating to a total of 57,957 shares) will vest, if ever, on the February 1st following the Company's first completed fiscal year in which annual revenue exceeds $6,000,000; (continued) F2 · derivative.exercise_date: and 20% of the shares subject to the option (relating to a total of 115,914 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.