Filing Details
- Accession Number:
- 0001437749-19-011738
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-06-10 18:19:32
- Reporting Period:
- 2019-06-06
- Accepted Time:
- 2019-06-10 18:19:32
- 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 | 2019-06-06 | 15,000 | $7.31 | 15,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-06-06 | 15,000 | $9.90 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-06-07 | 20,000 | $7.31 | 20,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-06-07 | 20,000 | $9.92 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-06-10 | 10,000 | $7.31 | 10,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-06-10 | 10,000 | $10.06 | 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 | 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 | 2019-06-06 | 15,000 | $0.00 | 15,000 | $7.31 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-06-07 | 20,000 | $0.00 | 20,000 | $7.31 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2019-06-10 | 10,000 | $0.00 | 10,000 | $7.31 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 57,976 | 2020-06-13 | No | 4 | M | Direct | |
| 37,976 | 2020-06-13 | No | 4 | M | Direct | |
| 27,976 | 2020-06-13 | No | 4 | M | Direct |
Footnotes
- This figure is the weighted average sales price of multiple trades ranging from $9.77 to $10.00 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 $9.82 to $10.00 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 $9.92 to $10.22 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 April 3, 2009. All of the options are fully vested and exercisable.
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