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 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-04-01: Reporting owner Martin Cameron E.; 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.
- 2011-02-11: Reporting owner Swanson Richard John; Form 5; Security Stock Option; Transaction Holding.
- 2011-02-11: Reporting owner MARCUM W PHILLIP; Form 5; Security Stock Option; Transaction Holding.
- 2011-02-11: Reporting owner Johnson Derek; Form 5; Security Stock Option; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-04-01 | Martin Cameron E. Officer (VP) | 4 | Stock Options Derivative · Direct | 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 | −2,417 0 owned after | $13.80 exercise price | 2011-04-05 | |
| 2011-02-11 holding as of filing | Swanson Richard John Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | MARCUM W PHILLIP Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $10.20 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | Johnson Derek Director | 5 | Stock Option Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | Caruso Robert Director | 5 | Stock Options Derivative · Direct | Holding | 5,000 owned after | $15.20 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | Sjostrom Sharon Officer (VP) | 5 | Stock Options Derivative · Direct | Holding | 2,363 owned after | $13.80 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | SCHLAGER RICHARD J Officer (VP) | 5 | Stock Options Derivative · Direct | Holding | 28,300 owned after | $8.60 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | Martin Cameron E. Officer (VP) | 5 | Stock Options Derivative · Direct | Holding | 2,417 owned after | $13.80 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | DURHAM MICHAEL D Director, Officer (President & CEO) | 5 | Stock Options Derivative · Direct | Holding | 49,010 owned after | $8.60 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | BUSTARD C JEAN Officer (COO) | 5 | Stock Option Derivative · Direct | Holding | 24,543 owned after | $8.60 exercise price | 2011-02-11 | |
| 2011-02-11 holding as of filing | MCKINNIES MARK H Director, Officer (SVP & CFO) | 5 | Stock Options Derivative · Direct | Holding | 34,210 owned after | $8.60 exercise price | 2011-02-11 |