Filing Details
- Accession Number:
- 0001437749-19-010422
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-17 21:56:56
- Reporting Period:
- 2019-05-15
- Accepted Time:
- 2019-05-17 21:56:56
- 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 |
|---|---|---|---|---|---|---|---|
| 1432628 | Peter Hans Michelet | 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 | 2019-05-15 | 18,365 | $3.53 | 18,365 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-05-15 | 18,365 | $11.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-05-16 | 26,091 | $3.53 | 26,091 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-05-16 | 13,789 | $5.43 | 39,880 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-05-16 | 39,880 | $10.85 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-05-17 | 3,447 | $5.43 | 3,447 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-05-17 | 37,322 | $7.31 | 40,769 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-05-17 | 40,769 | $10.49 | 0 | 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 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2019-05-15 | 18,365 | $0.00 | 18,365 | $3.53 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-05-16 | 26,091 | $0.00 | 26,091 | $3.53 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-05-16 | 13,789 | $0.00 | 13,789 | $5.43 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-05-17 | 3,447 | $0.00 | 3,447 | $5.43 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-05-17 | 37,322 | $0.00 | 37,322 | $7.31 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 26,091 | 2020-06-13 | No | 4 | M | Direct | |
| 0 | 2020-06-13 | No | 4 | M | Direct | |
| 3,447 | 2020-06-13 | No | 4 | M | Direct | |
| 0 | 2020-06-13 | No | 4 | M | Direct | |
| 157,962 | 2020-06-13 | No | 4 | M | Direct |
Footnotes
- This figure is the weighted average sales price of multiple trades ranging from $10.46 to $10.58 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 figure is the weighted average sales price of multiple trades ranging from $10.95 to $11.05 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 stock option was granted on February 6, 2015. All of the options are fully vested and exercisable.
- This stock option was granted on September 3, 2013. All of the options are fully vested and exercisable.
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