Filing Details
- Accession Number:
- 0001437749-21-004003
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2021-02-24 20:56:40
- Reporting Period:
- 2021-02-10
- Accepted Time:
- 2021-02-24 20:56:40
- Original Submission Date:
- 2021-02-12
- 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 | 2021-02-10 | 5,388 | $3.92 | 68,818 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-10 | 5,388 | $15.00 | 63,430 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-10 | 4,719 | $6.00 | 68,149 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-10 | 4,719 | $15.00 | 63,430 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-12 | 15,438 | $6.00 | 78,868 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-12 | 15,438 | $15.00 | 63,430 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-12 | 11,510 | $6.00 | 74,940 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-12 | 11,510 | $15.00 | 63,430 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-12 | 8,476 | $7.50 | 71,906 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-12 | 8,476 | $15.00 | 63,430 | 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 | |
| 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 | Employee Stock Option (Right to Buy) | Disposition | 2021-02-10 | 5,388 | $0.00 | 5,388 | $3.92 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-02-10 | 4,719 | $0.00 | 4,719 | $6.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-02-12 | 15,438 | $0.00 | 15,438 | $6.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-02-12 | 11,510 | $0.00 | 11,510 | $6.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-02-12 | 8,476 | $0.00 | 8,476 | $7.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-03-14 | No | 4 | M | Direct | |
| 0 | 2024-03-12 | No | 4 | M | Direct | |
| 0 | 2024-03-12 | No | 4 | M | Direct | |
| 0 | 2024-03-12 | No | 4 | M | Direct | |
| 0 | 2028-02-01 | 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 employee stock option was granted on March 14, 2013. All of the options are fully vested and exercisable.
- This employee stock option was granted on March 12, 2014. All of the options are fully vested and exercisable.
- This employee stock option was granted on February 1, 2018. All of the options are fully vested and exercisable.
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