Filing Details

Accession Number:
0001437749-21-000791
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-01-15 18:51:16
Reporting Period:
2021-01-13
Accepted Time:
2021-01-15 18:51:16
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
1723522 Farshad Ghasripoor C/O Energy Recovery, Inc.
1717 Doolittle Drive
San Leandro CA 94577
Chief Technology Officer 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 2021-01-13 19,220 $2.75 96,641 No 4 M Direct
Common Stock Disposition 2021-01-13 19,220 $14.31 77,421 No 4 S Direct
Common Stock Acquisiton 2021-01-13 15,818 $2.75 93,239 No 4 M Direct
Common Stock Disposition 2021-01-13 15,818 $14.31 77,421 No 4 S Direct
Common Stock Disposition 2021-01-13 8,738 $14.31 68,683 No 4 S Direct
Common Stock Acquisiton 2021-01-14 4,682 $2.75 73,365 No 4 M Direct
Common Stock Disposition 2021-01-14 4,682 $14.65 68,683 No 4 S Direct
Common Stock Disposition 2021-01-14 227 $10.46 68,456 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 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 2021-01-13 19,220 $0.00 19,220 $2.75
Common Stock Employee Stock Option (Right to Buy) Disposition 2021-01-13 15,818 $0.00 15,818 $2.75
Common Stock Employee Stock Option (Right to Buy) Disposition 2021-01-14 4,682 $0.00 4,682 $2.75
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2025-03-10 No 4 M Direct
0 2025-03-10 No 4 M Direct
0 2025-03-10 No 4 M Direct
Footnotes
  1. This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020.
  2. This figure is the weighted average sales price of multiple trades ranging from $13.98 to $14.70 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 $14.33 to $14.80 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 March 10, 2015. All of the options are fully vested and exercisable.