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, 12 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.
- 2016-05-04: Reporting owner Brisben William; Form 4; Security 10% Convertible Note Due December 15, 2016; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-03-02: Reporting owner Brisben William; Form 4; Security 10% Convertible Note Due May 29, 2016; Transaction P Open market or private purchase of non-derivative or derivative security.
| 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 | |
| 2016-05-04 | 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 | |
| 2016-03-02 | 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 | ||
| 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 | |
| 2015-06-19 | 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 | |
| 2015-02-10 | 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 | |
| 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 |