Filing Details
- Accession Number:
- 0001580695-21-000206
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-07-20 19:43:46
- Reporting Period:
- 2021-06-29
- Accepted Time:
- 2021-07-20 19:43:46
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 890447 | Vertex Energy Inc. | VTNR | Petroleum Refining (2911) | 943439569 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1655294 | Noel John Strickland | 1331 Gemini Street Suite 250 Houston TX 77058 | Coo | 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 | 2021-06-29 | 46,860 | $0.78 | 109,360 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-06-29 | 37,500 | $0.97 | 146,860 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-06-29 | 87,750 | $1.14 | 234,610 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-07-08 | 60,000 | $10.10 | 174,610 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-07-13 | 25,000 | $9.71 | 149,610 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Disposition | 2021-06-29 | 46,860 | $0.00 | 46,860 | $0.78 |
| Common Stock | Stock Option | Disposition | 2021-06-29 | 37,500 | $0.00 | 37,500 | $0.97 |
| Common Stock | Stock Option | Disposition | 2021-06-29 | 87,750 | $0.00 | 87,750 | $1.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 140,579 | 2030-06-19 | No | 4 | M | Direct | |
| 12,500 | 2027-08-20 | No | 4 | M | Direct | |
| 29,250 | 2028-04-12 | No | 4 | M | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $10.10 to $10.12. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was affected.
- This transaction was executed in multiple trades at prices ranging from $9.70 to $9.72. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was affected.
- Options to purchase 46,860 shares vested on June 19, 2021.
- Options to purchase 12,500 shares vested on August 20, 2018, 2019 and 2020.
- Options to purchase 29,250 shares vested on April 12, 2019, 2020 and 2021.
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