ADA-ES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2004. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2004-08-24: Reporting owner SCHLAGER RICHARD J; Form 5/A; Security Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2004-08-23: Reporting owner BUSTARD C JEAN; Form 5/A; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2004-08-23: Reporting owner BUSTARD C JEAN; Form 5/A; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2004-08-23: Reporting owner MCKINNIES MARK H; Form 5/A; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2004-08-24 | SCHLAGER RICHARD J Officer (VP - Contract R & D) | 5/A | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,300 28,300 owned after | $8.60 exercise price | 2007-04-19 | |
| 2004-08-23 | BUSTARD C JEAN Officer (COO) | 5/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,880 29,880 owned after | $8.60 exercise price | 2007-04-26 | |
| 2004-08-23 | BUSTARD C JEAN Officer (COO) | 5/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,880 29,880 owned after | $10.00 | 2007-04-26 | |
| 2004-08-23 | MCKINNIES MARK H Director, Officer (Senior VP & CFO) | 5/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,910 36,910 owned after | $8.60 exercise price | 2007-04-19 | |
| 2004-08-23 | Barr Jonathan Scott Officer (VP - Sales & Marketing) | 5/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,333 16,677 owned after | $8.60 exercise price | 2007-04-19 | |
| 2004-08-23 | DURHAM MICHAEL D Director, Officer (President & CEO) | 5/A | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,010 49,010 owned after | $8.60 exercise price | 2007-04-19 | |
| 2004-08-23 | SCHLAGER RICHARD J Officer (V.P. - Contracts & R & D) | 5 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,300 28,300 owned after | $8.60 exercise price | 2007-04-11 | |
| 2004-08-23 | Barr Jonathan Scott Officer (V.P. - Sales & Marketing) | 5 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,333 16,677 owned after | $8.60 exercise price | 2007-04-11 | |
| 2004-08-23 | DURHAM MICHAEL D Director, Officer (President & CEO) | 5 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,010 49,010 owned after | $8.60 exercise price | 2007-04-11 | |
| 2004-08-23 | MCKINNIES MARK H Director, Officer (Senior VP & CFO) | 5 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,910 36,910 owned after | $8.60 exercise price | 2007-04-06 |