ADA-ES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-10-09: Reporting owner Swanson Richard John; Form 4; Security Stock Option; Transaction Holding.
- 2007-10-09: Reporting owner JOHNSON RONALD B; Form 4; Security Stock Option; Transaction Holding.
- 2007-10-09: Reporting owner Johnson Derek; Form 4; Security Stock Option; Transaction Holding.
- 2007-10-09: Reporting owner Caruso Robert; Form 4; Security Stock Option; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-10-09 holding as of filing | Swanson Richard John Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2007-10-09 | |
| 2007-10-09 holding as of filing | JOHNSON RONALD B Director | 4 | Stock Option Derivative · Direct | Holding | 3,333 owned after | $13.80 exercise price | 2007-10-09 | |
| 2007-10-09 holding as of filing | Johnson Derek Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2007-10-09 | |
| 2007-10-09 holding as of filing | Caruso Robert Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2007-10-09 | |
| 2007-10-09 holding as of filing | SMITH JEFFREY CLARK Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2007-10-09 | |
| 2007-07-05 | BUSTARD C JEAN Officer (COO) | 4/A | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 25,433 owned after | $8.60 exercise price | 2008-04-11 | |
| 2007-07-05 | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,100 25,533 owned after | $8.60 exercise price | 2007-07-05 | |
| 2007-06-07 | BUSTARD C JEAN Officer (COO) | 4/A | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,200 26,433 owned after | $8.60 exercise price | 2008-04-11 | |
| 2007-06-07 | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 26,633 owned after | $8.60 exercise price | 2007-06-07 | |
| 2007-06-01 | 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 28,833 owned after | $8.60 exercise price | 2007-06-04 | |
| 2007-05-31 | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −157 29,833 owned after | $8.60 exercise price | 2007-06-04 | |
| 2007-05-24 holding as of filing | JOHNSON RONALD B Director | 4 | Stock Option Derivative · Direct | Holding | 3,333 owned after | $13.80 exercise price | 2007-05-24 | |
| 2007-05-21 holding as of filing | SCHLAGER RICHARD J Officer (VP) | 4 | Stock Option Derivative · Direct | Holding | 28,300 owned after | $8.60 exercise price | 2007-05-21 | |
| 2007-05-18 holding as of filing | MCKINNIES MARK H Director, Officer (CFO) | 4 | Stock OPtion Derivative · Direct | Holding | 33,117 owned after | $8.60 exercise price | 2007-05-18 | |
| 2007-05-04 holding as of filing | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | Holding | 29,880 owned after | $8.60 exercise price | 2007-05-04 | |
| 2007-04-26 holding as of filing | BUSTARD C JEAN Officer (COO) | 5/A | Stock Option Derivative · Direct | Holding | 5,514 owned after | $8.60 exercise price | 2007-04-26 | |
| 2007-04-13 | MCKINNIES MARK H Director, Officer (CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,700 34,210 owned after | $8.60 exercise price | 2007-04-17 | |
| 2007-02-05 holding as of filing | Miller Richard Officer (VP Business Development) | 5/A | Stock Option Derivative · Direct | Holding | 13,000 owned after | $15.18 exercise price | 2007-02-05 | |
| 2007-02-05 holding as of filing | Barr Jonathan Scott Officer (VP Sales & Marketing) | 5/A | Stock Option Derivative · Direct | Holding | 16,677 owned after | $8.60 exercise price | 2007-02-05 | |
| 2007-01-29 holding as of filing | Barr Jonathan Scott Officer (VP Sales & Marketing) | 5/A | Stock Option Derivative · Direct | Holding | 17,877 owned after | $8.60 exercise price | 2007-01-29 | |
| 2007-01-24 holding as of filing | BUSTARD C JEAN Officer (COO) | 5 | Stock Option Derivative · Direct | Holding | 5,514 owned after | $8.60 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | Barr Jonathan Scott Officer (VP Sales & Marketing) | 5 | Stock Options Derivative · Direct | Holding | 13,677 owned after | $8.60 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | Caruso Robert Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | DURHAM MICHAEL D Director, Officer (President & CEO) | 5 | Stock Option Derivative · Direct | Holding | 11,326 owned after | $8.60 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | Swanson Richard John Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | SMITH JEFFREY CLARK Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | SCHLAGER RICHARD J Officer (VP Contract R&D) | 5 | Stock Option Derivative · Direct | Holding | 6,177 owned after | $8.60 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | PETERSON ROLLIE J Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | Miller Richard Officer (VP Business Development) | 5 | Stock Option Derivative · Direct | Holding | 13,000 owned after | $15.18 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | MCKINNIES MARK H Director, Officer (Senior VP & CFO) | 5 | Stock Option Derivative · Direct | Holding | 8,534 owned after | $8.60 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | Johnson Derek Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2007-01-24 | |
| 2007-01-24 holding as of filing | JOHNSON RONALD B Director | 5 | Stock Option Derivative · Direct | Holding | 3,333 owned after | $13.80 exercise price | 2007-01-24 | |
| 2007-01-19 holding as of filing | Sjostrom Sharon Officer (VP Technology) | 3 | Stock Option Derivative · Direct | Holding | $13.80 exercise price | 2007-01-19 |