Filing Details
- Accession Number:
- 0001421517-18-000151
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-09 18:48:05
- Reporting Period:
- 2018-11-07
- Accepted Time:
- 2018-11-09 18:48:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1430122 | Arve Hanstveit | C/O Energy Recovery, Inc. 1717 Doolittle Drive San Leandro CA 94577 | 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 | 2018-11-07 | 18,145 | $2.49 | 1,113,945 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-11-07 | 18,145 | $9.16 | 1,095,800 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-11-08 | 27,563 | $2.49 | 1,123,363 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-11-08 | 27,563 | $9.15 | 1,095,800 | 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 | 2018-11-07 | 18,145 | $2.49 | 18,145 | $2.49 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-11-08 | 27,563 | $2.49 | 27,563 | $2.49 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 27,563 | 2022-08-15 | No | 4 | M | Direct | |
| 0 | 2022-08-15 | No | 4 | M | Direct |
Footnotes
- The figure is the weighted average sales price of multiple trades ranging from $9.0000 to $9.2700 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.
- The figure is the weighted average sales price of multiple trades ranging from $8.9900 to $9.2200 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.
- This employee stock option was granted on August 15, 2012. All of the shares are fully vested and exercisable.
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