ECOSPHERE TECHNOLOGIES INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 57 rows, 57 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 Common Stock Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-06-03: Reporting owner Brisben William; Form 4; Security Common Stock Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-06-03: Reporting owner Brisben William; Form 4; Security Common Stock Warrants; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-06-03: Reporting owner Brisben William; Form 4; Security Common Stock Warrants; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-09-13 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | $0.05 exercise price | 2016-09-14 | ||
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +4,347,826 0 owned after | $0.05 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,347,826 4,347,826 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,347,826 0 owned after | $0.05 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,347,826 4,347,826 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,347,826 0 owned after | $0.05 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,347,826 4,347,826 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,347,826 0 owned after | $0.05 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,347,826 4,347,826 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,173,913 0 owned after | $0.05 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,173,913 2,173,913 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,547,826 0 owned after | $0.05 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,547,826 13,547,826 owned after | $0.12 exercise price | 2016-06-07 | |
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.05 exercise price | 2016-06-07 | ||
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | $0.12 exercise price | 2016-06-07 | ||
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.05 exercise price | 2016-06-07 | ||
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | $0.12 exercise price | 2016-06-07 | ||
| 2016-06-03 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.05 exercise price | 2016-06-07 | ||
| 2016-05-04 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | $0.12 exercise price | 2016-05-06 | ||
| 2015-08-28 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | $0.12 exercise price | 2015-09-01 | ||
| 2015-06-19 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | $0.12 exercise price | 2015-06-23 | ||
| 2015-05-08 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | $0.12 exercise price | 2015-05-12 | ||
| 2015-03-20 | Brisben William 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | $0.12 exercise price | 2015-03-24 | ||
| 2015-02-16 | LOFTON JIMMAC G Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | H Expiration (or cancellation) of long derivative position with value received | $0.35 exercise price | 2015-02-17 | ||
| 2015-02-16 | LOFTON JIMMAC G Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.12 exercise price | 2015-02-17 | ||
| 2015-02-10 | Brisben William 10% Owner | 4 | Common Stock Warrants 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 | 2015-02-11 | |
| 2014-12-08 holding as of filing | HELLER RONALD I 10% Owner | 3 | Warrants Derivative · Indirect · See footnote | Holding | $0.12 exercise price | 2014-12-08 | ||
| 2014-12-08 holding as of filing | HELLER RONALD I 10% Owner | 3 | Warrants Derivative · Indirect · See footnote | Holding | $0.12 exercise price | 2014-12-08 | ||
| 2014-09-24 holding as of filing | Brisben William 10% Owner | 3 | Warrants Derivative · Direct · (m) | Holding | $0.12 exercise price | 2014-09-24 | ||
| 2014-09-24 holding as of filing | Brisben William 10% Owner | 3 | Warrants Derivative · Indirect · (m) | Holding | $0.12 exercise price | 2014-09-24 | ||
| 2013-12-23 | LOFTON JIMMAC G Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +333,332 333,332 owned after | $0.35 exercise price | 2013-12-26 | |
| 2010-07-07 | Keating D Stephen Director | 4 | Warrants (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −180,000 0 owned after | $0.25 exercise price | 2010-07-08 | |
| 2010-07-01 | Keating D Stephen Director | 4 | Warrants (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −121,875 0 owned after | $0.15 exercise price | 2010-07-02 | |
| 2008-12-20 | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 4 | Warrants (Right to Buy) Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −100,000 0 owned after | $0.25 exercise price | 2008-12-23 | |
| 2008-08-29 holding as of filing | Keating D Stephen Director | 3 | Warrants Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Warrants Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Warrants Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Warrants Derivative · Direct | Holding | $0.20 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Warrants Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Warrants Derivative · Direct | Holding | $0.20 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Warrants Derivative · Direct | Holding | $0.15 exercise price | 2008-08-29 | ||
| 2008-08-29 holding as of filing | Furman Michael F Officer (Executive Vice President) | 3 | Warrants Derivative · Direct | Holding | $0.20 exercise price | 2008-08-29 | ||
| 2008-06-25 holding as of filing | Haskell Patrick Director, Officer (Chairman and Co-CEO) | 3 | Warrants 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 | Warrants 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 | Warrants 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 | Warrants 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 | Warrants 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 | Warrants Derivative · Direct | Holding | $0.20 exercise price | 2008-06-25 | ||
| 2008-06-25 holding as of filing | Haskell Patrick Director, Officer (Chairman and Co-CEO) | 3 | Warrants 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 | Warrants Derivative · Direct | Holding | $0.20 exercise price | 2008-06-25 | ||
| 2008-03-31 | MCGUIRE JACQUELINE K Officer (Vice President of Administrati), 10% Owner | 4 | Warrants Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,000,000 0 owned after | $1.00 exercise price | 2008-04-02 | |
| 2008-03-31 | MCGUIRE JACQUELINE K Officer (Vice President of Administrati), 10% Owner | 4 | Warrants Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,000,000 0 owned after | $1.25 exercise price | 2008-04-02 | |
| 2008-03-31 | MCGUIRE DENNIS E Officer (President and CEO), 10% Owner | 4 | Warrants Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,000,000 0 owned after | $1.00 exercise price | 2008-04-02 | |
| 2008-03-31 | MCGUIRE DENNIS E Officer (President and CEO), 10% Owner | 4 | Warrants Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,000,000 0 owned after | $1.25 exercise price | 2008-04-02 | |
| 2008-02-21 holding as of filing | Goldfarb Adrian Graham Officer (Chief Financial Officer) | 3 | Warrants Derivative · Indirect · By WSR Consulting, Inc. | Holding | $0.25 exercise price | 2008-02-21 | ||
| 2004-11-05 | MCGUIRE DENNIS & JACQUELINE Officer (D. McGuire-Pres. & CEO), 10% Owner | 5 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 0 owned after | $1.00 exercise price | 2006-02-14 | |
| 2004-11-05 | MCGUIRE DENNIS & JACQUELINE Officer (D. McGuire-Pres. & CEO), 10% Owner | 5 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 0 owned after | $1.25 exercise price | 2006-02-14 |