PERSEN MALCOLM C

PrivateCIK: 1287975

Location

RIVER EDGE, NJ

PERSEN MALCOLM C reported 1 transaction at NEPHROS INC

Review the transaction codes below to understand the nature of each event.

PERSEN MALCOLM C

Filed: 5/13/2020ACC: 0000914190-20-000169

InsiderPERSEN MALCOLM CCIK 1287975

→

IssuerNEPHROS INCCIK 1196298

Director

Since Dec 2018

0.00

Net shares

Net seller

$13.2K

Total acquired

0

Open market trades

0B · 0S

2

Total transactions

1.73K acquired · 1.73K disposed

Non-Derivative Transactions1

Common Stock

Indirect

X · X

Shares

+1.73K

Price / share

$7.65

Trade value

$13.25K

% of position

50.0%

5/11/2020

3.46K→5.19K

Total

Net shares

+1.73K

Net value

$13.25K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Indirect	5/11/2020	X · X	+1.73K	$7.65	$13.25K	50.0%	3.46K	5.19K
Total			+1.73K		$13.25K

Derivative Transactions1

Warrants (right to buy)

Indirect

X · X

Converts to

Common Stock

1.73K shares

Shares

−1.73K

Strike price

7.65

Held after

0.00

Exercisable

—

5/11/2020

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Warrants (right to buy) Indirect	Common Stock1.73K shares	5/11/2020	X · X	−1.73K	7.65	—	0.00

Non-Derivative Holdings (Post-Transaction)1

Common Stock

Direct

Shares owned42.85K

Total

42.85K direct42.85K

Security Title	Shares Owned	Ownership Type
Common Stock	42.85K	Direct
Total	42.85K	42.85K direct

Derivative Holdings (Post-Transaction)5

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

5.57K

Shares owned

5.57K

Exercise price

8.57

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

—

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

—

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

—

Total

Underlying

25.30K

Owned

25.30K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	8.57	—	—	5.57K	5.57K
Stock Option (Right to Buy) Direct	Common Stock	7.11	—	—	6.33K	6.33K
Stock Option (Right to Buy) Direct	Common Stock	4.50	—	—	4.48K	4.48K
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
Total					25.30K	25.30K