PERSEN MALCOLM C

PrivateCIK: 1287975

Location

RIVER EDGE, NJ

PERSEN MALCOLM C received a stock award from NEPHROS INC

Compensation award — not an open‑market transaction. Less informative as a directional signal.

A · 1 award

PERSEN MALCOLM C

Filed: 12/18/2019ACC: 0000914190-19-000505

InsiderPERSEN MALCOLM CCIK 1287975

→

IssuerNEPHROS INCCIK 1196298

Director

Since Dec 2018

+11.01K

Net shares

Net buyer

$0.00

Total acquired

0

Open market trades

0B · 0S

2

Total transactions

11.01K acquired

Non-Derivative Transactions1

Common Stock

Direct

A · Award

Shares

+5.44K

Price / share

—

Trade value

—

% of position

14.5%

12/16/2019

37.42K→42.85K

Total

Net shares

+5.44K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	12/16/2019	A · Award	+5.44K	—	—	14.5%	37.42K	42.85K
Total			+5.44K		$0.00

Derivative Transactions1

Stock Option (Right to Buy)

Direct

A · Award

Converts to

Common Stock

5.57K shares

Shares

+5.57K

Strike price

8.57

Held after

5.57K

Exercisable

—

12/16/2019

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Stock Option (Right to Buy) Direct	Common Stock5.57K shares	12/16/2019	A · Award	+5.57K	8.57	—	5.57K

Non-Derivative Holdings (Post-Transaction)1

Common Stock

Indirect

Shares owned3.46K

Total

3.46K indirect3.46K

Security Title	Shares Owned	Ownership Type
Common Stock	3.46K	Indirect
Total	3.46K	3.46K indirect

Derivative Holdings (Post-Transaction)5

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

5.16K

Shares owned

5.16K

Exercise price

5.85

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

3.77K

Shares owned

3.77K

Exercise price

3.60

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

4.48K

Shares owned

4.48K

Exercise price

4.50

Expiration

—

Exercise window

—

Warrants (right to buy)

Indirect

Underlying security

Common Stock

Underlying shares

1.73K

Shares owned

1.73K

Exercise price

7.65

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

6.33K

Shares owned

6.33K

Exercise price

7.11

Expiration

—

Exercise window

—

Total

Underlying

21.47K

Owned

21.47K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	5.85	—	—	5.16K	5.16K
Stock Option (Right to Buy) Direct	Common Stock	3.60	—	—	3.77K	3.77K
Stock Option (Right to Buy) Direct	Common Stock	4.50	—	—	4.48K	4.48K
Warrants (right to buy) Indirect	Common Stock	7.65	—	—	1.73K	1.73K
Stock Option (Right to Buy) Direct	Common Stock	7.11	—	—	6.33K	6.33K
Total					21.47K	21.47K

PERSEN MALCOLM C — Insider Transaction (Form 4) Filed Dec 18, 2019 | Finecho