ECOSPHERE TECHNOLOGIES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-12-23: Reporting owner DONN MICHAEL R SR; Form 4; Security Stock Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-12-23: Reporting owner DONN MICHAEL R SR; Form 4; Security Stock Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-12-23: Reporting owner MCGUIRE JACQUELINE K; Form 4; Security Stock Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-12-23: Reporting owner MCGUIRE JACQUELINE K; Form 4; Security Stock Options (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2010-12-23 | DONN MICHAEL R SR Officer (Chief Operating Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 450,000 owned after | $0.48 exercise price | 2010-12-28 | |
| 2010-12-23 | DONN MICHAEL R SR Officer (Chief Operating Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.48 exercise price | 2010-12-28 | |
| 2010-12-23 | MCGUIRE JACQUELINE K Officer (Senior VP of Admin and Sec.), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.48 exercise price | 2010-12-28 | |
| 2010-12-23 | MCGUIRE JACQUELINE K Officer (Senior VP of Admin and Sec.), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.48 exercise price | 2010-12-28 | |
| 2010-12-23 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.48 exercise price | 2010-12-28 | |
| 2010-12-23 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.48 exercise price | 2010-12-28 | |
| 2010-12-14 | Keating D Stephen Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −41,688 20,812 owned after | $0.48 exercise price | 2010-12-16 | |
| 2010-12-14 | Keating D Stephen Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,417 156,250 owned after | $0.48 exercise price | 2010-12-16 | |
| 2010-12-07 | Davis Gene H Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,462 38,462 owned after | $0.52 exercise price | 2010-12-09 | |
| 2010-08-12 | Vinick Charles Director, Officer (Executive Chairman) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $0.82 exercise price | 2010-08-16 | |
| 2010-07-01 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,333 266,667 owned after | $0.27 exercise price | 2010-07-02 | |
| 2010-07-01 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −66,667 183,333 owned after | $0.43 exercise price | 2010-07-02 | |
| 2010-07-01 | Vinick Charles Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,323 40,323 owned after | $1.24 exercise price | 2010-07-02 | |
| 2010-07-01 | Keating D Stephen Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $1.24 exercise price | 2010-07-02 | |
| 2010-07-01 | Davis Gene H Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $1.24 exercise price | 2010-07-02 | |
| 2010-07-01 | ALLBAUGH JOE M Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,226 28,226 owned after | $1.24 exercise price | 2010-07-02 | |
| 2010-07-01 | Wolfe Thomas D Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,452 56,452 owned after | $1.24 exercise price | 2010-07-02 | |
| 2010-06-30 | ALLBAUGH JOE M Director | 4 | Stock Options (Right to Buy) Derivative · Indirect · By LLC | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +806,452 0 owned after | $1.00 exercise price | 2010-07-02 | |
| 2010-06-15 | DONN MICHAEL R SR Officer (Chief Operating Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 0 owned after | $0.28 exercise price | 2010-06-17 | |
| 2010-06-14 | DONN MICHAEL R SR Officer (Chief Operating Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 100,000 owned after | $0.28 exercise price | 2010-06-17 | |
| 2010-06-10 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80,000 300,000 owned after | $0.27 exercise price | 2010-06-11 | |
| 2010-05-21 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 380,000 owned after | $0.27 exercise price | 2010-05-21 | |
| 2010-04-21 | MCGUIRE DENNIS E Officer (Chief Executive Officer), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000,000 6,000,000 owned after | $1.01 exercise price | 2010-04-23 |