ECOSPHERE TECHNOLOGIES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-08-22: Reporting owner DONN MICHAEL R SR; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-08-11: Reporting owner DONN MICHAEL R SR; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-07-01: Reporting owner Davis Gene H; Form 4/A; Security Stock Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-07-01: Reporting owner ALLBAUGH JOE M; Form 4; Security Stock Option (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 |
|---|---|---|---|---|---|---|---|---|
| 2011-08-22 | DONN MICHAEL R SR Director, Officer (Chief Operating Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −130,000 285,667 owned after | $0.15 exercise price | 2011-08-24 | |
| 2011-08-11 | DONN MICHAEL R SR Director, Officer (Chief Operating Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +100,000 415,667 owned after | $0.15 exercise price | 2011-08-15 | |
| 2011-07-01 | Davis Gene H Director | 4/A | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +185,185 185,185 owned after | $0.54 exercise price | 2012-07-03 | |
| 2011-07-01 | ALLBAUGH JOE M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +64,815 64,815 owned after | $0.54 exercise price | 2011-07-06 | |
| 2011-07-01 | Keating D Stephen Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +74,074 74,074 owned after | $0.54 exercise price | 2011-07-06 | |
| 2011-07-01 | Davis Gene H Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +148,148 148,148 owned after | $0.54 exercise price | 2011-07-06 | |
| 2011-05-11 | MCGUIRE DENNIS E Officer (Chief Technology Officer), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,247,000 0 owned after | $0.15 exercise price | 2011-05-13 | |
| 2011-05-11 | MCGUIRE DENNIS E Officer (Chief Technology Officer), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,750,000 2,000,000 owned after | $0.30 exercise price | 2011-05-13 | |
| 2011-03-21 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 5 | Stock Options (right to buy) Derivative · Direct | G Bona fide gift | −250,000 250,000 owned after | $0.45 exercise price | 2012-02-14 | |
| 2011-03-21 | MCGUIRE DENNIS E Officer (Chief Technology Officer), 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000,000 9,000,000 owned after | $0.48 exercise price | 2011-03-23 | |
| 2011-01-31 | MCGUIRE DENNIS E | MCGUIRE JACQUELINE K Officer (Chief Technology Officer), 10% Owner | Officer (Senior VP of Admin and Sec.), 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80,000 0 owned after | $0.28 exercise price | 2011-03-25 | |
| 2011-01-18 | Vinick Charles Director, Officer (Chief Executive Officer) | 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 | $0.48 exercise price | 2011-01-20 | |
| 2011-01-04 | MCGUIRE DENNIS E Officer (Chief Technology Officer), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,200,000 0 owned after | $0.28 exercise price | 2011-01-28 | |
| 2011-01-04 | MCGUIRE DENNIS E Officer (Chief Technology Officer), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −800,000 0 owned after | $0.28 exercise price | 2011-01-28 |