Filing Details
- Accession Number:
- 0001437749-19-014236
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-07-18 16:54:41
- Reporting Period:
- 2019-07-16
- Accepted Time:
- 2019-07-18 16:54:41
- 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 |
|---|---|---|---|---|---|---|---|
| 1668423 | Emily Smith | C/O Energy Recovery 1717 Doolittle Drive San Leandro CA 94577 | Vp, Corporate Development | 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 | 2019-07-16 | 5,000 | $2.14 | 53,432 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-07-16 | 5,000 | $12.00 | 48,432 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-07-18 | 229 | $10.20 | 48,203 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2019-07-16 | 5,000 | $0.00 | 5,000 | $2.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 35,000 | 2025-09-30 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 14, 2018.
- Payment of tax obligation by withholding securities incident to the vesting of the securities in accordance with Rule 16b-3(e).
- Represents the weighted average stock price of the shares withheld to cover the tax obligation for each restricted stock unit award vesting.
- This employee stock option was granted on 09/30/2015. 25% of the shares full vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75% vesting 1/36th per month.
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