Filing Details
- Accession Number:
- 0001437749-21-000791
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-15 18:51:16
- Reporting Period:
- 2021-01-13
- Accepted Time:
- 2021-01-15 18:51:16
- 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 |
|---|---|---|---|---|---|---|---|
| 1723522 | Farshad Ghasripoor | C/O Energy Recovery, Inc. 1717 Doolittle Drive San Leandro CA 94577 | Chief Technology Officer | 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 | 2021-01-13 | 19,220 | $2.75 | 96,641 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-13 | 19,220 | $14.31 | 77,421 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-13 | 15,818 | $2.75 | 93,239 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-13 | 15,818 | $14.31 | 77,421 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-13 | 8,738 | $14.31 | 68,683 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-14 | 4,682 | $2.75 | 73,365 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-14 | 4,682 | $14.65 | 68,683 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-01-14 | 227 | $10.46 | 68,456 | No | 4 | F | 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 | S | 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 | 2021-01-13 | 19,220 | $0.00 | 19,220 | $2.75 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-01-13 | 15,818 | $0.00 | 15,818 | $2.75 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-01-14 | 4,682 | $0.00 | 4,682 | $2.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2025-03-10 | No | 4 | M | Direct | |
| 0 | 2025-03-10 | No | 4 | M | Direct | |
| 0 | 2025-03-10 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020.
- This figure is the weighted average sales price of multiple trades ranging from $13.98 to $14.70 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 $14.33 to $14.80 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 securities in accordance with Rule 16b-3(e).
- This employee stock option was granted on March 10, 2015. All of the options are fully vested and exercisable.
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