Filing Details
- Accession Number:
- 0001437749-16-043114
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2016-12-08 16:35:52
- Reporting Period:
- 2016-03-09
- Filing Date:
- 2016-12-08
- Accepted Time:
- 2016-12-08 16:35:52
- Original Submission Date:
- 2016-03-10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1421517 | Energy Recovery Inc. | ERII | Special Industry Machinery, Nec (3559) | 010616867 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1668422 | Rodney Clemente | C/O Energy Recovery 1717 Doolittle Drive San Leandro CA 94577 | Vp, Global Desalination Sales | No | Yes | 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 | 2016-03-09 | 3,688 | $2.46 | 19,511 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-09 | 3,688 | $9.19 | 15,823 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-03-09 | 15,000 | $3.40 | 30,823 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-09 | 15,000 | $9.19 | 15,823 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 (Right to Buy) | Disposition | 2016-03-09 | 3,688 | $0.00 | 3,688 | $2.46 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2016-03-09 | 15,000 | $0.00 | 15,000 | $3.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-06-02 | No | 4 | X | Direct | |
| 0 | 2022-02-15 | No | 4 | X | Direct |
Footnotes
- This figure is the weighted average sales price of multiple trades ranging from $8.56 to $9.477825 per share. The reporting person undertakes to provide to the SEC staff, ERI, or a shareholder of ERI, full information about the number of shares sold at each separate price, upon request.
- These option were originally granted as part of a larger option award on 2/16/2012 and became fully exercisable on 2/16/2016.
- These option were originally granted on 6/3/2010 and became fully exercisable on 6/3/2014.
Billionaire Hedge Funds
