Form 4 for SUNE SUNation Energy, Inc.
Accepted 2021-08-04 00:00:00 ET · period of report 2021-08-02 · accession 0001615594-21-000087 · 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 | 2021-08-04 | 2021-08-02 | SUNE | Lacey Roger HD | COB, Interim CEO, Dir | F - Tax | $7.15 | -214.3K | 101.6K | -68% | -$1.53M |
| DM | 2021-08-04 | 2021-08-02 | SUNE | Lacey Roger HD | COB, Interim CEO, Dir | M - OptEx | $4.54 | +272.4K | 142.0K | New | +$1.24M |
| DM | 2021-08-04 | 2021-08-02 | SUNE | Lacey Roger HD | COB, Interim CEO, Dir | M - OptEx | $0.00 | -196.5K | 0 | -100% | $0 |
| DM | 2021-08-04 | 2021-08-02 | SUNE | Lacey Roger HD | COB, Interim CEO, Dir | J - Other | $0.00 | -72.7K | 0 | -100% | $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 | 2021-08-02 | F | D | 6,723 | $7.15 | 158,890.58 | D | — | — | |
| 2 | Common | Common Stock | 2021-08-02 | F | D | 35,006 | $7.15 | 140,884.58 | D | — | — | |
| 3 | Common | Common Stock | 2021-08-02 | M | A | 15,865 | $7.15 | 165,613.58 | D | — | — | |
| 4 | Common | Common Stock | 2021-08-02 | F | D | 1,941 | $7.15 | 149,748.58 | D | — | — | |
| 5 | Common | Common Stock | 2021-08-02 | M | A | 4,579 | $7.15 | 151,689.58 | D | — | — | |
| 6 | Common | Common Stock | 2021-08-02 | F | D | 31,072 | $7.15 | 147,110.58 | D | — | — | |
| 7 | Common | Common Stock | 2021-08-02 | M | A | 35,095 | $5.39 | 178,182.58 | D | — | — | |
| 8 | Common | Common Stock | 2021-08-02 | F | D | 5,297 | $7.15 | 143,087.58 | D | — | — | |
| 9 | Common | Common Stock | 2021-08-02 | M | A | 7,500 | $2.64 | 148,384.58 | D | — | — | |
| 10 | Common | Common Stock | 2021-08-02 | M | A | 50,000 | $2.55 | 175,890.58 | D | — | — | |
| 11 | Common | Common Stock | 2021-08-02 | F | D | 47,610 | $7.15 | 125,890.58 | D | — | — | |
| 12 | Common | Common Stock | 2021-08-02 | M | A | 61,875 | $3.61 | 173,500.58 | D | — | — | |
| 13 | Common | Common Stock | 2021-08-02 | F | D | 46,176 | $7.15 | 111,625.58 | D | — | — | |
| 14 | Common | Common Stock | 2021-08-02 | M | A | 56,250 | $4.40 | 157,801.58 | D | — | — | |
| 15 | Common | Common Stock | 2021-08-02 | F | D | 40,444 | $7.15 | 101,551.58 | D | — | — | |
| 16 | Common | Common Stock | 2021-08-02 | M | A | 41,250 | $6.85 | 141,995.58 | D | — | — | |
| 17 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | M | D | 15,456 | $0.00 | 0 | D | $4.40 · 2021-08-01 to 2024-03-31 | 15,456 Common Stock | |
| 18 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | J | D | 25,050 | $0.00 | 0 | D | $11.05 · — to 2022-05-21 | 25,050 Common Stock | (F1) As provided under the 2011 Plan and in accordance with the determinations of the Compensation Committee, all stock options outstanding on August 2, 2021 having an exercise price equal to or greater than the Fair Market Value on the August 2, 2021 closing of the E&S Sale Transaction were terminated and cancelled as of the closing date without any payment therefor |
| 19 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | J | D | 18,850 | $0.00 | 0 | D | $11.09 · — to 2022-04-03 | 18,850 Common Stock | (F1) As provided under the 2011 Plan and in accordance with the determinations of the Compensation Committee, all stock options outstanding on August 2, 2021 having an exercise price equal to or greater than the Fair Market Value on the August 2, 2021 closing of the E&S Sale Transaction were terminated and cancelled as of the closing date without any payment therefor |
| 20 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | M | D | 16,667 | $0.00 | 0 | D | $7.34 · 2021-08-01 to 2023-01-25 | 16,667 Common Stock | |
| 21 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | M | D | 41,250 | $0.00 | 0 | D | $6.85 · 2021-08-01 to 2023-03-15 | 41.25 Common Stock | |
| 22 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | M | D | 40,794 | $0.00 | 0 | D | $4.40 · 2021-08-01 to 2024-03-31 | 40,794 Common Stock | |
| 23 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | M | D | 61,875 | $0.00 | 0 | D | $3.61 · 2021-08-01 to 2025-03-09 | 61,875 Common Stock | |
| 24 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | J | D | 6,100 | $0.00 | 0 | D | $11.09 · — to 2022-04-03 | 6,100 Common Stock | (F1) As provided under the 2011 Plan and in accordance with the determinations of the Compensation Committee, all stock options outstanding on August 2, 2021 having an exercise price equal to or greater than the Fair Market Value on the August 2, 2021 closing of the E&S Sale Transaction were terminated and cancelled as of the closing date without any payment therefor |
| 25 | Derivative | Stock Option (Right-to-Buy) | 2021-08-02 | J | D | 22,655 | $0.00 | 0 | D | $11.65 · — to 2022-03-17 | 22,655 Common Stock | (F1) As provided under the 2011 Plan and in accordance with the determinations of the Compensation Committee, all stock options outstanding on August 2, 2021 having an exercise price equal to or greater than the Fair Market Value on the August 2, 2021 closing of the E&S Sale Transaction were terminated and cancelled as of the closing date without any payment therefor |
| 26 | Derivative | Restricted Stock Units | 2021-08-02 | M | D | 4,579 | $0.00 | 0 | D | $7.15 · 2021-08-01 to 2026-03-28 | 4,579 Common Stock | |
| 27 | Derivative | Restricted Stock Units | 2021-08-02 | M | D | 15,865 | $0.00 | 0 | D | $7.15 · 2021-08-01 to 2027-05-06 | 15,865 Common Stock |