ADA-ES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-03-22: Reporting owner Amrhein Christine B.; Form 4; Security Stock Options; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 2013-02-07: Reporting owner Clarke Kim B; Form 3; Security Stock Option (right to buy); Transaction Holding.
- 2013-01-30: Reporting owner MARCUM W PHILLIP; Form 5; Security Stock Options; Transaction Holding.
- 2013-01-30: Reporting owner GABBARD ALAN BRADLEY; Form 5; Security Stock Options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-03-22 | Amrhein Christine B. Officer (General Counsel & VP) | 4 | Stock Options Derivative · Indirect · By Spouse | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | +1,937 0 owned after | $13.80 exercise price | 2013-03-25 | |
| 2013-02-07 holding as of filing | Clarke Kim B Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $23.85 exercise price | 2013-02-07 | ||
| 2013-01-30 holding as of filing | MARCUM W PHILLIP Director | 5 | Stock Options Derivative · Direct | Holding | 5,000 owned after | $10.20 exercise price | 2013-01-30 | |
| 2013-01-30 holding as of filing | GABBARD ALAN BRADLEY Director | 5 | Stock Options Derivative · Direct | Holding | 5,000 owned after | $11.04 exercise price | 2013-01-30 | |
| 2013-01-30 holding as of filing | Sjostrom Sharon Officer (VP) | 5 | Stock Option Derivative · Direct | Holding | 2,363 owned after | $13.80 exercise price | 2013-01-30 | |
| 2013-01-30 holding as of filing | SCHLAGER RICHARD J Officer (VP) | 5 | Stock Options Derivative · Direct | Holding | 28,300 owned after | $8.60 exercise price | 2013-01-30 | |
| 2013-01-30 holding as of filing | Miller Richard Officer (VP) | 5 | Stock Options Derivative · Direct | Holding | 13,000 owned after | $13.80 exercise price | 2013-01-30 | |
| 2013-01-30 holding as of filing | MCKINNIES MARK H Officer (SVP and CFO) | 5 | Stock Options Derivative · Direct | Holding | 34,210 owned after | $8.60 exercise price | 2013-01-30 | |
| 2013-01-30 holding as of filing | DURHAM MICHAEL D Officer (President and CEO) | 5 | Stock Option Derivative · Direct | Holding | 49,010 owned after | $8.60 exercise price | 2013-01-30 | |
| 2013-01-30 holding as of filing | BUSTARD C JEAN Officer (COO) | 5 | Stock Option Derivative · Direct | Holding | 24,543 owned after | $8.60 exercise price | 2013-01-30 | |
| 2013-01-30 holding as of filing | Amrhein Christine B. Officer (VP and Corporate Counsel) | 5 | Stock Options Derivative · Indirect · By Spouse | Holding | 1,937 owned after | $13.80 exercise price | 2013-01-30 |