Filing Details
- Accession Number:
- 0001580695-13-000048
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-09-18 15:35:58
- Reporting Period:
- 2013-09-06
- Filing Date:
- 2013-09-18
- Accepted Time:
- 2013-09-18 15:35:58
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 890447 | Vertex Energy Inc. | VTNR | Refuse Systems (4953) | 943439569 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1458878 | L David Phillips | 1331 Gemini Street Suite 250 Houston TX 77058 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-09-06 | 68,778 | $0.00 | 68,778 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-09-06 | 12,519 | $0.00 | 81,297 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-09-12 | 4,673 | $3.35 | 76,624 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-09-16 | 21 | $3.35 | 76,603 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-09-17 | 19,600 | $3.15 | 57,003 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2013-09-06 | 80,000 | $0.00 | 80,000 | $0.45 |
| Common Stock | Stock Option | Disposition | 2013-09-06 | 20,000 | $0.00 | 20,000 | $1.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 25,000 | 2019-07-15 | No | 4 | M | Direct | |
| 25,000 | 2018-06-02 | No | 4 | M | Direct |
Footnotes
- Cashless exercise of stock options which were granted pursuant to Rule 16b-3. Surrendered 11,222 shares to pay $0.45 per share exercise price.
- Cashless exercise of stock options which were granted pursuant to Rule 16b-3. Surrendered 7,481 shares to pay $1.20 per share exercise price.
- Multiple stock options exercisable from between July 15, 2010 and July 15, 2013.
- Director compensation.
- Multiple stock options exercisable from between June 2, 2009 and June 2, 2012.
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