Filing Details
- Accession Number:
- 0001437749-21-010930
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-05 13:00:00
- Reporting Period:
- 2021-05-03
- Accepted Time:
- 2021-05-05 16:55:20
- 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 |
|---|---|---|---|---|---|---|---|
| 1668422 | Rodney Clemente | C/O Energy Recovery, Inc. 1717 Doolittle Drive San Leandro CA 94577 | Svp, Water | 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 | 2021-05-03 | 2,983 | $21.11 | 45,217 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-03 | 2,983 | $21.11 | 42,234 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-03 | 1,831 | $21.11 | 44,065 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-03 | 1,831 | $21.11 | 42,234 | 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 |
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 | 2021-05-03 | 2,983 | $0.00 | 2,983 | $7.60 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-05-03 | 1,831 | $0.00 | 1,831 | $10.21 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,800 | 2029-01-31 | No | 4 | M | Direct | |
| 10,054 | 2030-01-31 | 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. 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 employee stock option was granted on January 31, 2019. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.
- This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.
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