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 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-11-07: Reporting owner GABBARD ALAN BRADLEY; Form 3; Security Stock Option (right to buy); Transaction Holding.
- 2012-02-21: Reporting owner Sjostrom Sharon; 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.
- 2012-02-06: Reporting owner MARCUM W PHILLIP; Form 5/A; Security Stock Options; Transaction Holding.
- 2012-02-06: Reporting owner Amrhein Christine B.; Form 5; Security Stock Options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-11-07 holding as of filing | GABBARD ALAN BRADLEY Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $19.54 exercise price | 2012-11-07 | ||
| 2012-02-21 | Sjostrom Sharon Officer (CTO) | 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 | −2,363 0 owned after | $13.80 exercise price | 2013-02-22 | |
| 2012-02-06 holding as of filing | MARCUM W PHILLIP Director | 5/A | Stock Options Derivative · Direct | Holding | 5,000 owned after | $10.20 exercise price | 2012-02-06 | |
| 2012-02-06 holding as of filing | Amrhein Christine B. Officer (VP and Corporate Counsel) | 5 | Stock Options Derivative · Indirect · By Spouse | Holding | 1,937 owned after | $13.80 exercise price | 2012-02-06 | |
| 2012-02-06 holding as of filing | Sjostrom Sharon Officer (VP) | 5 | Stock Options Derivative · Direct | Holding | 2,363 owned after | $13.80 exercise price | 2012-02-06 | |
| 2012-02-06 holding as of filing | SCHLAGER RICHARD J Officer (VP) | 5 | Stock Options Derivative · Direct | Holding | 28,300 owned after | $8.60 exercise price | 2012-02-06 | |
| 2012-02-06 holding as of filing | Miller Richard Officer (VP) | 5 | Stock Options Derivative · Direct | Holding | 13,000 owned after | $13.80 exercise price | 2012-02-06 | |
| 2012-02-06 holding as of filing | MCKINNIES MARK H Director, Officer (SVP and CFO) | 5 | Stock Options Derivative · Direct | Holding | 34,210 owned after | $8.60 exercise price | 2012-02-06 | |
| 2012-02-06 holding as of filing | DURHAM MICHAEL D Director, Officer (President and CEO) | 5 | Stock Option Derivative · Direct | Holding | 49,010 owned after | $8.60 exercise price | 2012-02-06 | |
| 2012-02-06 holding as of filing | BUSTARD C JEAN Officer (COO) | 5 | Stock Option Derivative · Direct | Holding | 24,543 owned after | $8.60 exercise price | 2012-02-06 |