Form 4 for ERII Energy Recovery, Inc.
Accepted 2023-11-08 00:00:00 ET · period of report 2023-11-06 · accession 0001421517-23-000197 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-11-08 | 2023-11-06+ | ERII | Mao Robert Yu Lang | Dir | M - OptEx | $10.37 | +289.9K | 226.0K | New | +$3.01M |
| DM | 2023-11-08 | 2023-11-06+ | ERII | Mao Robert Yu Lang | Dir | S - Sale+OE | $17.89 | -251.4K | 104.6K | -71% | -$4.50M |
| DM | 2023-11-08 | 2023-11-06+ | ERII | Mao Robert Yu Lang | Dir | M - OptEx | $0.00 | -289.9K | 93.6K | -76% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-11-07 | M | A | 4,168 | $7.79 | 104,604 | D | — | — | |
| 2 | Common | Common Stock | 2023-11-07 | M | A | 34,340 | $7.79 | 100,436 | D | — | — | |
| 3 | Common | Common Stock | 2023-11-06 | M | A | 130,000 | $7.79 | 196,096 | D | — | — | |
| 4 | Common | Common Stock | 2023-11-06 | S | D | 130,000 | $17.76 | 66,096 | D | — | — | (F1) This figure is the weighted average sales price of multiple trades ranging from $17.54 to $17.93 per share. The reporting person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares sold at each separate price upon request. |
| 5 | Common | Common Stock | 2023-11-07 | S | D | 121,383 | $18.02 | 104,604 | D | — | — | (F2) This figure is the weighted average sales price of multiple trades ranging from $17.81 to $18.22 per share. The reporting person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares sold at each separate price upon request. |
| 6 | Common | Common Stock | 2023-11-07 | M | A | 121,383 | $13.96 | 225,987 | D | — | — | |
| 7 | Derivative | Employee Stock Option (Right to Buy) | 2023-11-07 | M | D | 121,383 | $0.00 | 70,151 | D | $13.96 · — to 2031-02-01 | 121,383 Common Stock | (F5) The stock option was granted on February 1, 2021. |
| 8 | Derivative | Employee Stock Option (Right to Buy) | 2023-11-07 | M | D | 4,168 | $0.00 | 45,832 | D | $7.79 · — to 2030-05-20 | 4,168 Common Stock | (F4) The stock option was granted on May 20, 2023. |
| 9 | Derivative | Employee Stock Option (Right to Buy) | 2023-11-07 | M | D | 34,340 | $0.00 | 59,273 | D | $7.79 · — to 2030-05-20 | 34,340 Common Stock | (F3) The stock option was granted on May 20, 2023. |
| 10 | Derivative | Employee Stock Option (Right to Buy) | 2023-11-06 | M | D | 130,000 | $0.00 | 93,613 | D | $7.79 · — to 2030-05-20 | 130,000 Common Stock | (F3) The stock option was granted on May 20, 2023. |