Filing Details
- Accession Number:
- 0001437749-21-004913
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-03 21:33:13
- Reporting Period:
- 2021-03-01
- Accepted Time:
- 2021-03-03 21:33:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1668422 | Rodney Clemente | C/O Energy Recovery, Inc. 1717 Doolittle Drive San Leandro CA 94577 | Svp, Water | 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 | 2021-03-01 | 9,957 | $18.19 | 52,191 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-01 | 9,957 | $18.19 | 42,234 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-01 | 10,998 | $18.19 | 53,232 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-01 | 10,998 | $18.19 | 42,234 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-01 | 7,327 | $18.21 | 49,561 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-01 | 7,327 | $18.21 | 42,234 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-02 | 912 | $18.33 | 43,146 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-02 | 912 | $18.33 | 42,234 | 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 |
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 | 2021-03-01 | 9,957 | $0.00 | 9,957 | $10.19 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-03-01 | 10,998 | $0.00 | 10,998 | $10.19 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-03-01 | 7,327 | $0.00 | 18,287 | $10.21 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-03-02 | 912 | $0.00 | 912 | $10.19 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2027-02-02 | No | 4 | M | Direct | |
| 912 | 2027-02-02 | No | 4 | M | Direct | |
| 610 | 2030-01-31 | No | 4 | M | Direct | |
| 0 | 2027-02-02 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020.
- This figure is the weighted average sales price of multiple trades. 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.
- This employee stock option was granted on February 2, 2017. All of the options are fully vested and exercisable.
- This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.
Billionaire Hedge Funds
