ADA-ES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows in 2006. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-11-16: Reporting owner JOHNSON RONALD B; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2006-08-22: Reporting owner BUSTARD C JEAN; Form 4; Security Stock Option; Transaction Holding.
- 2006-08-03: Reporting owner Caruso Robert; Form 4/A; Security Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2006-08-03: Reporting owner Johnson Derek; 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 |
|---|---|---|---|---|---|---|---|---|
| 2006-11-16 | JOHNSON RONALD B Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 3,333 owned after | $13.80 | 2006-11-17 | |
| 2006-08-22 holding as of filing | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | Holding | 5,514 owned after | $8.60 exercise price | 2006-08-22 | |
| 2006-08-03 | Caruso Robert Director | 4/A | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $15.20 exercise price | 2007-04-19 | |
| 2006-08-03 | Johnson Derek Director | 5/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $15.20 exercise price | 2007-04-19 | |
| 2006-08-03 | Swanson Richard John Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $15.20 exercise price | 2007-04-18 | |
| 2006-08-03 | Swanson Richard John Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $15.20 exercise price | 2007-04-17 | |
| 2006-08-03 | Caruso Robert Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $15.20 exercise price | 2007-04-11 | |
| 2006-08-03 | Johnson Derek Director | 5 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $15.20 exercise price | 2007-04-11 | |
| 2006-08-03 | Swanson Richard John Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,000 5,000 owned after | $15.20 exercise price | 2006-10-20 | |
| 2006-08-03 | Caruso Robert Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,000 5,000 owned after | $15.20 exercise price | 2006-10-20 | |
| 2006-08-02 | Swanson Richard John Director | 4/A | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $15.20 exercise price | 2007-04-19 | |
| 2006-07-28 holding as of filing | Miller Richard Officer (V.P., Bus. Dev.) | 3/A | stock option Derivative · Direct | Holding | $15.18 exercise price | 2006-07-28 | ||
| 2006-07-13 holding as of filing | Miller Richard Officer (V.P., Bus. Dev.) | 3 | stock option Derivative · Direct | Holding | $15.18 exercise price | 2006-07-13 | ||
| 2006-05-01 | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 5,514 owned after | $8.60 | 2006-05-02 | |
| 2006-02-03 holding as of filing | BLOOM DUANE N Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-02-03 | |
| 2006-02-03 holding as of filing | SMITH JEFFREY CLARK Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-02-03 | |
| 2006-02-03 holding as of filing | PETERSON ROLLIE J Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-02-03 | |
| 2006-02-03 holding as of filing | JOHNSON RONALD B Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-02-03 | |
| 2006-02-03 holding as of filing | BISQUE RAMON E Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-02-03 | |
| 2006-02-03 holding as of filing | LOWDERMILK ROBERT H Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-02-03 | |
| 2006-02-03 holding as of filing | BLOOM DUANE N Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-02-03 | |
| 2006-01-31 | Barr Jonathan Scott Officer (VP Sales & Marketing) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 13,677 owned after | $8.60 | 2006-02-02 | |
| 2006-01-30 holding as of filing | LOWDERMILK ROBERT H Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-01-30 | |
| 2006-01-30 holding as of filing | BISQUE RAMON E Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-01-30 | |
| 2006-01-30 holding as of filing | JOHNSON RONALD B Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-01-30 | |
| 2006-01-30 holding as of filing | PETERSON ROLLIE J Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-01-30 | |
| 2006-01-30 holding as of filing | SMITH JEFFREY CLARK Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2006-01-30 | |
| 2006-01-27 | DURHAM MICHAEL D Officer (President & CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,326 11,326 owned after | $8.60 | 2006-02-02 | |
| 2006-01-27 | Barr Jonathan Scott Officer (VP Sales) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,877 10,677 owned after | $8.60 | 2006-01-30 | |
| 2006-01-27 | SCHLAGER RICHARD J Officer (VP) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,177 6,177 owned after | $8.60 | 2006-01-30 | |
| 2006-01-27 | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,514 6,514 owned after | $8.60 | 2006-01-30 | |
| 2006-01-27 | MCKINNIES MARK H Officer (Senior VP & CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,534 8,534 owned after | $8.60 | 2006-01-30 |