ADA-ES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 34 rows in 2008. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2008-10-17: Reporting owner SCHLAGER RICHARD J; Form 4; Security Stock Option; Transaction Holding.
- 2008-10-17: Reporting owner Swanson Richard John; Form 4; Security Stock Option; Transaction Holding.
- 2008-10-17: Reporting owner SMITH JEFFREY CLARK; Form 4; Security Stock Option; Transaction Holding.
- 2008-10-17: Reporting owner MARCUM W PHILLIP; Form 4; Security Stock Option; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2008-10-17 holding as of filing | SCHLAGER RICHARD J Officer (VP) | 4 | Stock Option Derivative · Direct | Holding | 28,300 owned after | $8.60 exercise price | 2008-10-17 | |
| 2008-10-17 holding as of filing | Swanson Richard John Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2008-10-17 | |
| 2008-10-17 holding as of filing | SMITH JEFFREY CLARK Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2008-10-17 | |
| 2008-10-17 holding as of filing | MARCUM W PHILLIP Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $10.20 exercise price | 2008-10-17 | |
| 2008-10-17 holding as of filing | JOHNSON RONALD B Director | 4 | Stock Option Derivative · Direct | Holding | 3,333 owned after | $13.80 exercise price | 2008-10-17 | |
| 2008-10-17 holding as of filing | Johnson Derek Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2008-10-17 | |
| 2008-10-17 holding as of filing | Caruso Robert Director | 4 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2008-10-17 | |
| 2008-05-13 holding as of filing | Miller Richard Officer (VP Business Development) | 4 | Stock Option Derivative · Direct | Holding | 13,000 owned after | $13.80 exercise price | 2008-05-13 | |
| 2008-04-17 | MARCUM W PHILLIP 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 | $10.20 exercise price | 2008-04-22 | |
| 2008-03-28 holding as of filing | Miller Richard Officer (VP Business Development) | 4 | Stock Option Derivative · Direct | Holding | 13,000 owned after | $13.80 exercise price | 2008-03-28 | |
| 2008-03-28 holding as of filing | MCKINNIES MARK H Director, Officer (CFO & SVP) | 4 | Stock Option Derivative · Direct | Holding | 34,210 owned after | $8.60 exercise price | 2008-03-28 | |
| 2008-03-28 holding as of filing | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | Holding | 24,543 owned after | $8.60 exercise price | 2008-03-28 | |
| 2008-03-28 holding as of filing | DURHAM MICHAEL D Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | Holding | 49,010 owned after | $8.60 exercise price | 2008-03-28 | |
| 2008-03-11 holding as of filing | Martin Cameron E. Officer (VP) | 3 | Stock Option Derivative · Direct | Holding | $13.80 exercise price | 2008-03-11 | ||
| 2008-02-05 holding as of filing | Sjostrom Sharon Officer (VP) | 4 | Stock Option Derivative · Direct | Holding | 2,363 owned after | $13.80 exercise price | 2008-02-05 | |
| 2008-02-05 holding as of filing | SCHLAGER RICHARD J Officer (VP) | 4 | Stock Option Derivative · Direct | Holding | 28,300 owned after | $8.60 exercise price | 2008-02-05 | |
| 2008-02-05 holding as of filing | Miller Richard Officer (VP) | 4 | Stock Option Derivative · Direct | Holding | 13,000 owned after | $13.80 exercise price | 2008-02-05 | |
| 2008-02-05 holding as of filing | BUSTARD C JEAN Officer (COO) | 4 | Stock Option Derivative · Direct | Holding | 24,543 owned after | $8.60 exercise price | 2008-02-05 | |
| 2008-02-05 holding as of filing | Barr Jonathan Scott Officer (VP) | 4 | Stock Option Derivative · Direct | Holding | 39,600 owned after | $8.60 exercise price | 2008-02-05 | |
| 2008-02-05 holding as of filing | DURHAM MICHAEL D Director, Officer (CEO) | 4 | Stock Option Derivative · Direct | Holding | 49,010 owned after | $8.60 exercise price | 2008-02-05 | |
| 2008-02-05 holding as of filing | MCKINNIES MARK H Director, Officer (CFO) | 4 | Stock Option Derivative · Direct | Holding | 34,210 owned after | $8.60 exercise price | 2008-02-05 | |
| 2008-01-25 holding as of filing | MCKINNIES MARK H Officer (CFO and Secretary) | 5/A | Stock Option Derivative · Direct | Holding | 34,210 owned after | $8.60 exercise price | 2008-01-25 | |
| 2008-01-25 holding as of filing | BUSTARD C JEAN Officer (COO) | 5 | Stock Option Derivative · Direct | Holding | 24,543 owned after | $8.60 exercise price | 2008-01-25 | |
| 2008-01-25 holding as of filing | DURHAM MICHAEL D Officer (CEO) | 5 | Stock Option Derivative · Direct | Holding | 49,010 owned after | $8.60 exercise price | 2008-01-25 | |
| 2008-01-25 holding as of filing | Barr Jonathan Scott Officer (VP) | 5 | Stock Option Derivative · Direct | Holding | 39,600 owned after | $8.60 exercise price | 2008-01-25 | |
| 2008-01-25 holding as of filing | Caruso Robert Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2008-01-25 | |
| 2008-01-25 holding as of filing | Johnson Derek Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2008-01-25 | |
| 2008-01-24 holding as of filing | Miller Richard Officer (VP) | 5 | Stock Option Derivative · Direct | Holding | 13,000 owned after | $13.80 exercise price | 2008-01-24 | |
| 2008-01-24 holding as of filing | Sjostrom Sharon Officer (VP) | 5 | Stock Option Derivative · Direct | Holding | 2,363 owned after | $13.80 exercise price | 2008-01-24 | |
| 2008-01-24 holding as of filing | SCHLAGER RICHARD J Officer (VP) | 5 | Stock Option Derivative · Direct | Holding | 28,300 owned after | $8.60 exercise price | 2008-01-24 | |
| 2008-01-24 holding as of filing | JOHNSON RONALD B Director | 5 | Stock Option Derivative · Direct | Holding | 3,333 owned after | $13.80 exercise price | 2008-01-24 | |
| 2008-01-24 holding as of filing | SMITH JEFFREY CLARK Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $13.80 exercise price | 2008-01-24 | |
| 2008-01-24 holding as of filing | Swanson Richard John Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2008-01-24 | |
| 2008-01-14 holding as of filing | MCKINNIES MARK H Director, Officer (CFO and Secretary) | 5 | Stock Option Derivative · Direct | Holding | 33,117 owned after | $8.60 exercise price | 2008-01-14 |