ECOSPHERE TECHNOLOGIES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-05-01: Reporting owner Vinick Charles; Form 4; Security Stock Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-05-01: Reporting owner Vinick Charles; Form 4; Security Stock Options (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-05-01: Reporting owner Vinick Charles; Form 4; Security Stock Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-05-01: Reporting owner Vinick Charles; Form 4; Security Stock Options (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-05-01 | Vinick Charles Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +666,667 666,667 owned after | $0.05 exercise price | 2017-05-02 | |
| 2017-05-01 | Vinick Charles Director | 4 | Stock Options (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −666,667 0 owned after | $0.12 exercise price | 2017-05-02 | |
| 2017-05-01 | Vinick Charles Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +209,336 209,336 owned after | $0.05 exercise price | 2017-05-02 | |
| 2017-05-01 | Vinick Charles Director | 4 | Stock Options (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −209,336 0 owned after | $0.40 exercise price | 2017-05-02 | |
| 2017-05-01 | Vinick Charles Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,050,000 1,050,000 owned after | $0.05 exercise price | 2017-05-02 | |
| 2017-05-01 | Vinick Charles Director | 4 | Stock Options (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,050,000 0 owned after | $0.38 exercise price | 2017-05-02 | |
| 2017-05-01 | Becker Dean Director | 4 | Stock Options (Right to Buy) Derivative · Indirect · By LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,150,000 3,150,000 owned after | $0.05 exercise price | 2017-05-02 | |
| 2017-05-01 | Becker Dean Director | 4 | Stock Options (Right to Buy) Derivative · Indirect · By LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,150,000 0 owned after | $0.35 exercise price | 2017-05-02 | |
| 2017-03-01 holding as of filing | Becker Dean Director | 3 | Stock Options (Right to Buy) Derivative · Indirect · By LLC | Holding | $0.35 exercise price | 2017-03-01 |