Filing Details
- Accession Number:
- 0001354488-11-000953
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-25 18:09:46
- Reporting Period:
- 2011-01-31
- Filing Date:
- 2011-03-25
- Accepted Time:
- 2011-03-25 18:09:46
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1071760 | Ecosphere Technologies Inc | ESPH | Construction, Mining & Materials Handling Machinery & Equip (3530) | 203502861 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1158309 | E Dennis Mcguire | 3515 Se Lionel Terrace Stuart FL 34997 | Chief Technology Officer | No | Yes | Yes | No |
| 1158310 | K Jacqueline Mcguire | 3515 Se Lionel Terrace Stuart FL 34997 | Senior Vp Of Admin And Sec. | No | Yes | Yes | 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 | 2011-01-31 | 80,000 | $0.28 | 1,157,243 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-01-31 | 37,333 | $0.60 | 1,119,910 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2011-02-18 | 19,923 | $0.00 | 1,099,987 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2011-03-23 | 25,000 | $0.76 | 1,074,987 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | 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) | Disposition | 2011-01-31 | 80,000 | $0.00 | 80,000 | $0.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2008-02-01 | 2011-01-31 | No | 4 | M | Direct |
Footnotes
- Reflects 37,333 shares withheld by the issuer at the market price of $0.60 per share less an exercise price of $0.28 per share to fund the cashless exercise of 80,000 options owned by Mrs. McGuire, which cashless exercise was approved by the Board of Directors.
- On December 23, 2008, the board granted 65,000 shares to Mrs. McGuire for which a Form 4 was timely filed. This number reflects 19,923 shares withheld by the issuer on February 18, 2011 at the vesting date price of $0.47 per share to pay required withholding taxes.
- This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. McGuire on March 18, 2011. The reporting persons exercised no discretion with respect to the sale.
- Of these securities, 882,423 are jointly owned by Mr. and Mrs. McGuire.
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