Form 4 for ERII Energy Recovery, Inc.
Accepted 2024-05-24 00:00:00 ET · period of report 2024-05-22 · accession 0001421517-24-000104 · 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 | 2024-05-24 | 2024-05-22+ | ERII | Mao Robert Yu Lang | Dir | M - OptEx | $7.79 | +39.9K | 246.9K | +19% | +$310.8K |
| D | 2024-05-24 | 2024-05-22 | ERII | Mao Robert Yu Lang | Dir | S - Sale+OE | $13.86 | -21.0K | 236.1K | -8% | -$291.7K |
| DM | 2024-05-24 | 2024-05-22+ | ERII | Mao Robert Yu Lang | Dir | M - OptEx | $7.79 | -39.9K | 0 | -100% | -$310.8K |
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 | 2024-05-23 | M | A | 2,084 | $7.79 | 248,935 | D | — | — | |
| 2 | Common | Common Stock | 2024-05-22 | S | D | 21,045 | $13.86 | 236,099 | D | — | — | (F1) This figure is the weighted average sales price of multiple trades ranging from $13.81 to $13.95 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. |
| 3 | Common | Common Stock | 2024-05-22 | M | A | 5,208 | $7.79 | 257,144 | D | — | — | |
| 4 | Common | Common Stock | 2024-05-22 | M | A | 21,859 | $7.79 | 251,936 | D | — | — | |
| 5 | Common | Common Stock | 2024-05-23 | M | A | 10,752 | $7.79 | 246,851 | D | — | — | |
| 6 | Derivative | Employee Stock Option (Right to Buy) | 2024-05-22 | M | D | 21,859 | $7.79 | 10,752 | D | $7.79 · — to 2030-05-20 | 21,859 Common Stock | (F3) This employee stock option was granted on May 20, 2020. 25% of the underlying shares vest on the 1st anniversary of the vesting commencement date; thereafter, the remaining 75% vest 1/36th per month. |
| 7 | Derivative | Employee Stock Option (Right to Buy) | 2024-05-22 | M | D | 5,208 | $7.79 | 2,084 | D | $7.79 · — to 2030-05-20 | 5,208 Common Stock | (F3) This employee stock option was granted on May 20, 2020. 25% of the underlying shares vest on the 1st anniversary of the vesting commencement date; thereafter, the remaining 75% vest 1/36th per month. |
| 8 | Derivative | Employee Stock Option (Right to Buy) | 2024-05-23 | M | D | 2,084 | $7.79 | 0 | D | $7.79 · — to 2030-05-20 | 2,084 Common Stock | (F3) This employee stock option was granted on May 20, 2020. 25% of the underlying shares vest on the 1st anniversary of the vesting commencement date; thereafter, the remaining 75% vest 1/36th per month. |
| 9 | Derivative | Employee Stock Option (Right to Buy) | 2024-05-23 | M | D | 10,752 | $7.79 | 0 | D | $7.79 · — to 2030-05-20 | 10,752 Common Stock | (F3) This employee stock option was granted on May 20, 2020. 25% of the underlying shares vest on the 1st anniversary of the vesting commencement date; thereafter, the remaining 75% vest 1/36th per month. |