Filing Details
- Accession Number:
- 0001421517-18-000125
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2018-06-18 21:29:21
- Reporting Period:
- 2018-06-14
- Accepted Time:
- 2018-06-18 21:29:21
- Original Submission Date:
- 2018-06-18
- 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 |
|---|---|---|---|---|---|---|---|
| 1432628 | Peter Hans Michelet | C/O Energy Recovery, Inc. 1717 Doolittle Drive San Leandro CA 94577 | Yes | No | 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 | 2018-06-14 | 39,424 | $2.49 | 39,424 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-14 | 39,424 | $8.24 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-06-15 | 6,284 | $2.49 | 6,284 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-15 | 6,284 | $8.03 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-06-15 | 33,140 | $2.61 | 33,140 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-15 | 33,140 | $8.03 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-06-18 | 5,902 | $2.61 | 5,902 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-18 | 5,902 | $8.09 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-06-18 | 17,240 | $2.92 | 17,240 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-18 | 17,240 | $8.09 | 0 | 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 | Stock Option (Right to Buy) | Acquisiton | 2018-06-14 | 15,879 | $0.00 | 15,879 | $8.49 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-06-14 | 39,424 | $8.24 | 39,424 | $2.49 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-06-15 | 6,284 | $8.03 | 6,284 | $2.49 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-06-15 | 33,140 | $8.03 | 33,140 | $2.61 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-06-18 | 5,902 | $8.09 | 5,902 | $2.61 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-06-18 | 17,240 | $8.09 | 17,240 | $2.92 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 497,766 | 2028-06-14 | No | 4 | A | Direct | |
| 458,342 | 2022-08-14 | No | 4 | M | Direct | |
| 452,058 | 2022-08-14 | No | 4 | M | Direct | |
| 418,918 | 2021-09-16 | No | 4 | M | Direct | |
| 413,016 | 2021-09-16 | No | 4 | M | Direct | |
| 395,776 | 2025-06-23 | No | 4 | M | Direct |
Footnotes
- The figure is the weighted average sales price of multiple trades ranging from $8.000 to $8.710 per share. The reporting person undertakes to provide to the SEC, ERI or a shareholder of ERI, full information about the number of shares sold at each separate price upon request.
- The Shares will fully vest and become exercisable on the 2019 Annual Meeting date, anticipated to be on or about June 13, 2019.
- This employee stock option was granted on August 14, 2012. All of the shares are fully vested and exercisable
- This employee stock option was granted on September 16, 2011. All of the shares are fully vested and exercisable
- This employee stock option was granted on June 23, 2015. All of the shares are fully vested and exercisable
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