Filing Details
- Accession Number:
- 0001437749-19-005213
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-03-18 21:03:09
- Reporting Period:
- 2019-03-14
- Accepted Time:
- 2019-03-18 21:03:09
- 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, Water | 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 | 2019-03-14 | 8,625 | $5.25 | 69,564 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-03-14 | 29,520 | $2.75 | 99,084 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-03-14 | 53,036 | $8.85 | 46,048 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-03-18 | 214 | $8.32 | 45,834 | No | 4 | F | 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 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2019-03-14 | 8,625 | $0.00 | 8,625 | $5.25 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2019-03-14 | 29,520 | $0.00 | 29,520 | $2.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-09-04 | No | 4 | M | Direct | |
| 0 | 2025-03-10 | No | 4 | M | Direct |
Footnotes
- This figure is the weighted average sales price of multiple trades ranging from $8.7200 to $8.9300 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.
- Payment of tax obligation by withholding securities incident to the vesting of the securities in accordance with Rule 16b-3(e).
- This employee stock option was granted on September 4, 2009. All of the options are fully vested and exercisable.
- This employee stock option was granted on March 10, 2015. All of the options are fully vested and exercisable.
Billionaire Hedge Funds
