ECOSPHERE TECHNOLOGIES INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows, 33 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-05-23: Reporting owner MCGUIRE DENNIS E; Form 4; Security Stock Appreciation Rights; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-05-23: Reporting owner MCGUIRE DENNIS E; Form 4; Security Stock Appreciation Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2008-09-03: Reporting owner ALLBAUGH JOE M; Form 4; Security Stock Appreciation Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2008-09-03: Reporting owner ALLBAUGH JOE M; Form 4; Security Stock Appreciation Rights; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-05-23 | MCGUIRE DENNIS E Director, Officer (Chief Executive Officer) | 4 | Stock Appreciation Rights Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,300,000 0 owned after | $0.34 exercise price | 2016-05-25 | |
| 2016-05-23 | MCGUIRE DENNIS E Director, Officer (Chief Executive Officer) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,300,000 6,300,000 owned after | $0.05 exercise price | 2016-05-25 | |
| 2008-09-03 | ALLBAUGH JOE M Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +104,167 104,167 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | ALLBAUGH JOE M Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,667 41,667 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | Wolfe Thomas D Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +166,667 166,667 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | Wolfe Thomas D Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,667 41,667 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | Davis Gene H Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +166,667 166,667 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | Davis Gene H Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,667 41,667 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | Keating D Stephen Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +166,667 166,667 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | Keating D Stephen Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +62,500 62,500 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | STERNER GEORGE R Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +62,500 62,500 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | STERNER GEORGE R Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +104,167 104,167 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | STERNER GEORGE R Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,667 41,667 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | Vinick Charles Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +104,167 104,167 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-09-03 | Vinick Charles Director | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +62,500 62,500 owned after | $0.48 exercise price | 2008-09-05 | |
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | $0.45 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | $0.85 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | $1.10 exercise price | 2008-08-29 | ||
| 2008-07-03 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 4 | Stock Appreication Rights Derivative · Indirect · By WSR Consulting, Inc. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +650,000 650,000 owned after | $0.45 exercise price | 2008-07-08 | |
| 2008-07-03 | GRADY KEVIN P 10% Owner | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $0.45 exercise price | 2008-07-08 | |
| 2008-06-30 | MCGUIRE JACQUELINE K Officer (Senior VP of Admin & Secretary), 10% Owner | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $0.47 exercise price | 2008-07-02 | |
| 2008-06-30 | DONN MICHAEL R SR Director, Officer (Chief Operating Officer) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.47 exercise price | 2008-07-02 | |
| 2008-06-25 holding as of filing | Haskell Patrick Director, Officer (Chairman and Co-CEO) | 3 | 12% Convertible Derivative · Direct | Holding | $0.15 exercise price | 2008-06-25 | ||
| 2008-06-25 holding as of filing | Haskell Patrick Director, Officer (Chairman and Co-CEO) | 3 | 12% Convertible Derivative · Direct | Holding | $0.15 exercise price | 2008-06-25 | ||
| 2008-06-25 holding as of filing | Haskell Patrick Director, Officer (Chairman and Co-CEO) | 3 | 12% Convertible Derivative · Direct | Holding | $0.15 exercise price | 2008-06-25 | ||
| 2008-06-25 holding as of filing | Haskell Patrick Director, Officer (Chairman and Co-CEO) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | $0.50 exercise price | 2008-06-25 | ||
| 2008-06-25 holding as of filing | Haskell Patrick Director, Officer (Chairman and Co-CEO) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | $0.50 exercise price | 2008-06-25 | ||
| 2008-06-25 holding as of filing | Jakhete Sanjeev Officer (Sr. VP of Engineering) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | $0.50 exercise price | 2008-06-25 | ||
| 2008-06-25 holding as of filing | Jakhete Sanjeev Officer (Sr. VP of Engineering) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | $0.50 exercise price | 2008-06-25 | ||
| 2008-06-23 | MCGUIRE DENNIS E Officer (President and Co-CEO), 10% Owner | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 3,300,000 owned after | $0.50 exercise price | 2008-06-23 | |
| 2008-06-17 | MCGUIRE DENNIS E Officer (President and Co-CEO), 10% Owner | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $0.50 exercise price | 2008-06-23 | |
| 2006-12-18 | MCGUIRE JACQUELINE K Officer (Sen. VP of Admin. and Sec.) | 4 | Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.44 exercise price | 2006-12-20 | |
| 2006-12-18 | JOHNSON STEPHEN R Director, Officer (Pres. UltraStrip Env. Sol. Inc) | 4 | Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.44 exercise price | 2006-12-20 |