Filing Details

Accession Number:
0001437749-20-000947
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-01-21 21:00:25
Reporting Period:
2020-01-16
Accepted Time:
2020-01-21 21:00:25
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
1668414 Eric Siebert C/O Energy Recovery
1717 Doolittle Drive
San Leandro CA 94577
Vp, Oil And Gas 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 2020-01-16 11,354 $2.61 72,236 No 4 M Direct
Common Stock Disposition 2020-01-16 11,354 $10.51 60,882 No 4 S Direct
Common Stock Acquisiton 2020-01-17 2,200 $2.61 63,082 No 4 M Direct
Common Stock Disposition 2020-01-17 2,200 $10.54 60,882 No 4 S Direct
Common Stock Disposition 2020-01-21 426 $9.28 60,456 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 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 2020-01-16 11,354 $0.00 11,354 $2.61
Common Stock Employee Stock Option (Right to Buy) Disposition 2020-01-17 2,200 $0.00 2,200 $2.61
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2025-06-08 No 4 M Direct
0 2025-06-08 No 4 M Direct
Footnotes
  1. This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.
  2. This figure is the weighted average sales price of multiple trades ranging from $10.50 to $10.53 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.
  3. This figure is the weighted average sales price of multiple trades ranging from $10.51 to $10.58 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.
  4. Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).
  5. This employee stock option was granted on June 8, 2015. All of the options are fully vested and exercisable.