ECOSPHERE TECHNOLOGIES INC Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 34 rows, 34 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-09-13: Reporting owner Brisben William; Form 4; Security 10% Convertible Note Due December 15, 2017; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-06-03: Reporting owner Brisben William; Form 4; Security 10% Convertible Note Due December 15, 2017; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-06-03: Reporting owner Brisben William; Form 4; Security 10% Convertible Note Due December 15, 2016; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-06-03: Reporting owner Brisben William; Form 4; Security 10% Convertible Note Due December 15, 2017; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-09-13 | Brisben William 10% Owner | 4 | 10% Convertible Note Due December 15, 2017 Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +4,347,826 4,347,826 owned after | $0.12 exercise price | 2016-09-14 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | 10% Convertible Note Due December 15, 2017 Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +8,695,652 8,695,652 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | 10% Convertible Note Due December 15, 2016 Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −562,500 0 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | 10% Convertible Note Due December 15, 2017 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +562,500 562,500 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | 10% Convertible Note Due December 15, 2016 Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,391,304 0 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | 10% Convertible Note Due December 15, 2017 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,391,304 17,391,304 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-05-04 | Brisben William 10% Owner | 4 | 10% Convertible Note Due December 15, 2016 Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +13,547,826 13,547,826 owned after | $0.12 exercise price | 2016-05-06 | |
| 2016-05-04 | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2016 Derivative · Indirect · By LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | $0.12 exercise price | 2016-05-06 | ||
| 2016-05-04 | Brisben William 10% Owner | 4 | 10% Convertible Note Due December 15, 2016 Derivative · Indirect · By LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.12 exercise price | 2016-05-06 | ||
| 2016-03-02 | Brisben William 10% Owner | 4 | 10% Convertible Note Due May 29, 2016 Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | $0.12 exercise price | 2016-03-04 | ||
| 2016-03-02 | Brisben William 10% Owner | 4 | 10% Convertible Note Due April 17, 2016 Derivative · Indirect · By LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.12 exercise price | 2016-03-04 | ||
| 2015-08-28 | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2016 Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +2,173,913 2,173,913 owned after | $0.12 exercise price | 2015-09-01 | |
| 2015-08-28 | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2015 Derivative · Indirect · By LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | $0.12 exercise price | 2015-09-01 | ||
| 2015-08-28 | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2016 Derivative · Indirect · By LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.12 exercise price | 2015-09-01 | ||
| 2015-06-19 | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2015 Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +4,347,826 4,347,826 owned after | $0.12 exercise price | 2015-06-23 | |
| 2015-05-08 | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2015 Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +4,347,826 4,347,826 owned after | $0.12 exercise price | 2015-05-12 | |
| 2015-03-20 | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2015 Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +4,347,826 4,347,826 owned after | $0.12 exercise price | 2015-03-24 | |
| 2015-02-16 | LOFTON JIMMAC G Director | 4 | 10% Convertible Note due 2015 Derivative · Direct | H Expiration (or cancellation) of long derivative position with value received | −333,332 0 owned after | $0.30 exercise price | 2015-02-17 | |
| 2015-02-16 | LOFTON JIMMAC G Director | 4 | 10% Convertible Note due 2016 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +333,332 333,332 owned after | $0.12 exercise price | 2015-02-17 | |
| 2015-02-11 holding as of filing | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2015 Derivative · Indirect · By LLC | Holding | 1,000,000 owned after | $0.12 exercise price | 2015-02-11 | |
| 2015-02-10 | Brisben William 10% Owner | 4 | 10% Convertible Note Due September 12, 2015 Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +2,500,000 250,000 owned after | $0.12 exercise price | 2015-02-11 | |
| 2014-12-08 holding as of filing | HELLER RONALD I 10% Owner | 3 | 10% Convertible Note Due November 26, 2015 Derivative · Indirect · See footnote | Holding | $0.12 exercise price | 2014-12-08 | ||
| 2014-12-08 holding as of filing | HELLER RONALD I 10% Owner | 3 | 10% Convertible Note Due December 18, 2015 Derivative · Indirect · See footnote | Holding | $0.12 exercise price | 2014-12-08 | ||
| 2014-09-24 holding as of filing | Brisben William 10% Owner | 3 | 10% Convertible Note Due September 12, 2015 Derivative · Indirect · (m) | Holding | $0.12 exercise price | 2014-09-24 | ||
| 2013-12-23 | LOFTON JIMMAC G Director | 4 | 10% Convertible Note due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.30 exercise price | 2013-12-26 | |
| 2010-04-15 | Keating D Stephen Director | 4 | 10% Convertible Note Derivative · Direct | C Conversion of derivative security | −200,000 0 owned after | $0.36 exercise price | 2010-04-16 | |
| 2008-09-23 | Keating D Stephen Director | 4 | 10% Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 555,555 owned after | $0.36 exercise price | 2008-09-25 | |
| 2008-09-23 | Furman Michael F Officer (Executive Vice President) | 4 | 10% Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 308,641 owned after | $0.36 exercise price | 2008-09-25 | |
| 2008-09-23 | Haskell Patrick Director, Officer (Chairman and Co-CEO) | 4 | 10% Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 308,641 owned after | $0.36 exercise price | 2008-09-25 | |
| 2008-08-29 holding as of filing | Keating D Stephen Director | 3 | Convertible Note Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Convertible Note Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Convertible Note Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Convertible Note Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Convertible Note Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 |