Filing Details
- Accession Number:
- 0001000096-12-000160
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-06 12:38:07
- Reporting Period:
- 2012-11-02
- Filing Date:
- 2012-11-06
- Accepted Time:
- 2012-11-06 12:38:07
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 319458 | Enservco Corp | ENSV | Crude Petroleum & Natural Gas (1311) | 840811316 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1494696 | D Rick Kasch | 501 S. Cherry St. Suite 320 Denver CO 80246 | President And Cfo | Yes | 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 | 2012-11-02 | 75,000 | $0.35 | 1,526,924 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | Acquisiton | 2012-11-02 | 37,500 | $0.00 | 37,500 | $0.55 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,362,500 | 2012-11-02 | 2017-11-30 | No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $0.49 | 2010-07-30 | 2015-06-30 | 300,000 | 0 | Direct |
| Common Stock | Stock Option | $1.10 | 2011-07-19 | 2016-07-19 | 600,000 | 0 | Direct |
| Common Stock | Stock Option | $0.46 | 2012-06-05 | 2012-06-05 | 425,000 | 0 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-06-30 | 300,000 | 0 | Direct |
| 2016-07-19 | 600,000 | 0 | Direct |
| 2012-06-05 | 425,000 | 0 | Direct |
Footnotes
- Options granted pursuant to Enservco's 2010 Stock Incentive Plan on June 5, 2012. Options to acquire 150,000 shares vest on the grant date; 150,000 on June 5, 2013; and the 125,000 balance on June 5, 2014. These options are subject to other vesting conditions and are not beneficially owned, but are reported here for disclosure and transparency.
- The warrants were issued pursuant to a Subscription Agreement in which the Unit price was $350 and Unit consisted of 1,000 shares of common stock and a warrant to purchase 500 shares of common stock at $0.55 per share. The Warrant expires on November 30, 2017 at 5 PM Mountain Time.
- Includes the unvested shares described in Note 1.
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