Nuverra Environmental Solutions, Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-28: Reporting owner Gates Capital Management, L.P. | Gates Jeffrey L | Gates Capital Management, Inc. | Gates Capital Management GP, LLC; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2018-12-28: Reporting owner Ascribe III Investments LLC | AMERICAN SECURITIES LLC | Ascribe Capital LLC | Ascribe Opportunities Fund III, L.P. | Ascribe Opportunities Fund III(B), L.P. | Ascribe Associates III, LLC; Form 4; Security Subscription Rights (Right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2018-12-28: Reporting owner Ascribe Opportunities Fund II, LP | Ascribe Associates II, LLC | Ascribe Management LLC | Ascribe II Investments LLC | Ascribe Opportunities Fund II(B), LP; Form 4; Security Subscription Rights (Right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2012-09-12: Reporting owner Parkinson Jay Curtis; Form 3; Security No Securities owned; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-12-28 | Gates Capital Management, L.P. | Gates Jeffrey L | Gates Capital Management, Inc. | Gates Capital Management GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,500,396 0 owned after | $9.61 exercise price | 2019-01-02 | |
| 2018-12-28 | Ascribe III Investments LLC | AMERICAN SECURITIES LLC | Ascribe Capital LLC | Ascribe Opportunities Fund III, L.P. | Ascribe Opportunities Fund III(B), L.P. | Ascribe Associates III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subscription Rights (Right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,495,607 0 owned after | $9.61 exercise price | 2019-01-02 | |
| 2018-12-28 | Ascribe Opportunities Fund II, LP | Ascribe Associates II, LLC | Ascribe Management LLC | Ascribe II Investments LLC | Ascribe Opportunities Fund II(B), LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subscription Rights (Right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,495,607 0 owned after | $9.61 exercise price | 2019-01-02 | |
| 2012-09-12 holding as of filing | Parkinson Jay Curtis Officer (Executive VP and CFO) | 3 | No Securities owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2012-09-12 | |
| 2012-05-10 holding as of filing | Devlin James Officer (Pres. & COO of Thermo Fluids) | 3/A | No Securities Owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2012-05-10 | |
| 2012-04-12 holding as of filing | Devlin James Officer (Pres.& COO of Thermo Fluids) | 3 | No Securities Owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2012-04-12 | |
| 2011-11-16 holding as of filing | Chisholm Christopher Officer (Executive VP & CFO) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2011-11-16 | |
| 2011-02-10 holding as of filing | SPENCE KEVIN L. Director | 5 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2011-02-10 | |
| 2011-01-05 holding as of filing | Gordon Charles R. Officer (President and COO) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2011-01-05 | |
| 2010-12-30 holding as of filing | SPENCE KEVIN L. Director | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2010-12-30 | |
| 2010-12-15 holding as of filing | Georgino Damian C Officer (EVP, Corp. Dev. and CLO) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2010-12-15 | |
| 2009-08-13 | Ezzell Donald Officer (Vice President/General Counsel) | 4 | Common Stock, Par Value $.0.001 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +135,000 135,000 owned after | $3.98 | 2009-08-14 | |
| 2009-08-13 | ANDERSON BRIAN Officer (Vice President/CFO) | 4 | Common Stock, Par Value $.0.001 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +135,000 135,000 owned after | $3.98 | 2009-08-14 | |
| 2008-12-12 holding as of filing | Ezzell Donald Officer (VP, General Counsel) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2008-12-12 | |
| 2008-12-12 holding as of filing | ANDERSON BRIAN Officer (Vice President, CFO) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2008-12-12 | |
| 2008-11-10 holding as of filing | Xu Hong Bin Director, 10% Owner | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2008-11-10 |