Nuverra Environmental Solutions, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 67 rows, 67 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-02-10: Reporting owner QUAYLE DAN; Form 5; Security Warrants; Transaction Holding.
- 2011-02-10: Reporting owner QUAYLE DAN; Form 5; Security Warrants; Transaction Holding.
- 2011-02-10: Reporting owner OSBORNE ALFRED E JR; Form 5; Security Warrants; Transaction Holding.
- 2011-02-10: Reporting owner OSBORNE ALFRED E JR; Form 5; Security Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-02-10 holding as of filing | QUAYLE DAN Director | 5 | Warrants Derivative · Indirect · See Footnote | Holding | 500,000 owned after | $6.00 exercise price | 2011-02-10 | |
| 2011-02-10 holding as of filing | QUAYLE DAN Director | 5 | Warrants Derivative · Indirect · See Footnote | Holding | 94,116 owned after | $6.00 exercise price | 2011-02-10 | |
| 2011-02-10 holding as of filing | OSBORNE ALFRED E JR Director | 5 | Warrants Derivative · Indirect · See Footnotes | Holding | 500,000 owned after | $6.00 exercise price | 2011-02-10 | |
| 2011-02-10 holding as of filing | OSBORNE ALFRED E JR Director | 5 | Warrants Derivative · Indirect · See Footnotes | Holding | 94,116 owned after | $6.00 exercise price | 2011-02-10 | |
| 2011-02-10 holding as of filing | HOLTZ LOU Director | 5 | Warrants Derivative · Direct | Holding | 1,000,000 owned after | $6.00 exercise price | 2011-02-10 | |
| 2011-02-10 holding as of filing | HOLTZ LOU Director | 5 | Warrants Derivative · Direct | Holding | 188,232 owned after | $6.00 exercise price | 2011-02-10 | |
| 2011-02-10 holding as of filing | HECKMANN RICHARD J Director, Officer (CHAIRMAN & CEO), 10% Owner | 5 | Warrants Derivative · Direct · (m) | Holding | 5,000,000 owned after | $6.00 exercise price | 2011-02-10 | |
| 2011-02-10 holding as of filing | HECKMANN RICHARD J Director, Officer (CHAIRMAN & CEO), 10% Owner | 5 | Warrants Derivative · Indirect · (m) | Holding | 12,627,736 owned after | $6.00 exercise price | 2011-02-10 | |
| 2011-02-10 holding as of filing | ANDERSON BRIAN Officer (Vice President/CFO) | 5 | Warrants to purchase common stock Derivative · Direct | Holding | 75,000 owned after | $6.00 exercise price | 2011-02-10 | |
| 2010-08-12 | Ezzell Donald Officer (Vice President/General Counsel) | 4/A | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 50,000 owned after | $0.31 | 2010-08-19 | |
| 2010-08-12 | Ezzell Donald Officer (Vice President/General Counsel) | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 50,000 owned after | $0.31 | 2010-08-16 | |
| 2010-02-19 holding as of filing | HECKMANN RICHARD J Director, Officer (CHAIRMAN & CEO), 10% Owner | 5/A | Warrants Derivative · Direct · (m) | Holding | 5,000,000 owned after | $6.00 exercise price | 2010-02-19 | |
| 2010-02-19 holding as of filing | HECKMANN RICHARD J Director, Officer (CHAIRMAN & CEO), 10% Owner | 5/A | Warrants Derivative · Indirect · (m) | Holding | 12,777,736 owned after | $6.00 exercise price | 2010-02-19 | |
| 2010-02-16 holding as of filing | HOLTZ LOU Director | 4 | Warrants Derivative · Direct | Holding | 1,000,000 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | HOLTZ LOU Director | 4 | Warrants Derivative · Direct | Holding | 1,000,000 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | HECKMANN RICHARD J Director, Officer (CHAIRMAN & CEO), 10% Owner | 5 | Warrants Derivative · Direct · (m) | Holding | 5,000,000 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | HECKMANN RICHARD J Director, Officer (CHAIRMAN & CEO), 10% Owner | 5 | Warrants Derivative · Indirect · (m) | Holding | 12,777,736 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | QUAYLE DAN Director | 5 | Warrants Derivative · Indirect · See Footnotes | Holding | 500,000 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | QUAYLE DAN Director | 5 | Warrants Derivative · Indirect · See Footnotes | Holding | 94,116 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | OSBORNE ALFRED E JR Director | 5 | Warrants Derivative · Indirect · See Footnotes | Holding | 500,000 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | OSBORNE ALFRED E JR Director | 5 | Warrants Derivative · Indirect · See Footnotes | Holding | 94,116 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | Ezzell Donald Officer (Vice President/General Counsel) | 5 | Warrants Derivative · Direct · (m) | Holding | 50,000 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | Ezzell Donald Officer (Vice President/General Counsel) | 5 | Warrants Derivative · Indirect · (m) | Holding | 75,000 owned after | $6.00 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | ANDERSON BRIAN Officer (Vice President/CFO) | 5 | Warrants to purchase common stock Derivative · Indirect · (m) | Holding | 75,000 owned after | $6.00 exercise price | 2010-02-16 | |
| 2009-06-18 | KITT BARRY M 10% Owner | 4 | Warrants to purchase shares of Common Stock Derivative · Indirect · By Pinnacle China Fund, L.P. | S Open market or private sale of non-derivative or derivative security | +1,201,800 0 owned after | $0.55 | 2009-06-18 | |
| 2009-06-18 | KITT BARRY M 10% Owner | 4 | Warrants to purchase shares of Common Stock Derivative · Indirect · By The Pinnacle Fund, L.P. | S Open market or private sale of non-derivative or derivative security | +1,201,800 0 owned after | $0.55 | 2009-06-18 | |
| 2008-12-16 | Ezzell Donald Officer (VP, General Counsel) | 4 | Warrants to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +30,000 30,000 owned after | $1.05 | 2008-12-18 | |
| 2008-12-16 | Ezzell Donald Officer (VP, General Counsel) | 4 | Warrants to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 50,000 owned after | $1.10 | 2008-12-18 | |
| 2008-12-11 | HECKMANN RICHARD J Director, Officer (Chief Executive Officer), 10% Owner | 4 | Founders' Warrants Derivative · Indirect · Held by Heckmann Acquisition, LLC | J Other acquisition or disposition (describe transaction) | −150,000 13,152,736 owned after | $6.00 exercise price | 2008-12-12 | |
| 2008-12-11 | HECKMANN RICHARD J Director, Officer (Chief Executive Officer), 10% Owner | 4 | Founders' Warrants Derivative · Indirect · Held by Heckmann Acquisition, LLC | G Bona fide gift | −525,000 12,627,736 owned after | $6.00 exercise price | 2008-12-12 | |
| 2008-12-11 | HECKMANN RICHARD J Director, Officer (Chief Executive Officer), 10% Owner | 4 | Founders' Warrants Derivative · Indirect · See Footnote | G Bona fide gift | −62,500 12,627,736 owned after | $6.00 exercise price | 2008-12-12 | |
| 2008-12-11 | Ezzell Donald Officer (VP, General Counsel) | 4 | Founders? Warrants Derivative · Indirect · Held by Heckmann Acquisition, LLC | J Other acquisition or disposition (describe transaction) | −75,000 75,000 owned after | $6.00 exercise price | 2008-12-12 | |
| 2008-12-11 | ANDERSON BRIAN Officer (Vice President, CFO) | 4 | Founders? Warrants Derivative · Indirect · Held by Heckmann Acquisition, LLC | J Other acquisition or disposition (describe transaction) | −75,000 75,000 owned after | $6.00 exercise price | 2008-12-12 | |
| 2008-11-07 holding as of filing | KITT BARRY M 10% Owner | 3 | Warrants to purchase shares of Common Stock Derivative · Indirect · By The Pinnacle Fund,. L.P. | Holding | $6.00 exercise price | 2008-11-07 | ||
| 2008-11-07 holding as of filing | KITT BARRY M 10% Owner | 3 | Warrants to purchase shares of Common Stock Derivative · Indirect · By Pinnacle China Fund,. L.P. | Holding | $6.00 exercise price | 2008-11-07 | ||
| 2008-11-04 holding as of filing | ALYDAR PARTNERS LLC | Murphy John Albert | Alysheba Fund L P | | | 3/A | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | ALYDAR PARTNERS LLC | Murphy John Albert | Alysheba Fund L P | | | 3/A | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | ALYDAR PARTNERS LLC | Murphy John Albert | Alysheba Fund L P | | | 3/A | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | ALYDAR PARTNERS LLC | Murphy John Albert | Alysheba Fund L P | | | 3/A | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | ALYDAR PARTNERS LLC | Murphy John Albert | Alysheba Fund L P | | | 3/A | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | ALYDAR PARTNERS LLC | Murphy John Albert | Alysheba Fund L P | | | 3/A | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | Alydar Capital, LLC | Alysheba QP Fund L P | Alysun Fund LP | ALYDAR PARTNERS LLC | ALYDAR FUND LP | Alysheba Fund Ltd | ALYDAR QP FUND LP | Alysun Fund Ltd | Alydar Fund Ltd | Alysun QP Fund LP | | | | | | | | | | 3/A | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | Alydar Capital, LLC | Alysheba QP Fund L P | Alysun Fund LP | ALYDAR PARTNERS LLC | ALYDAR FUND LP | Alysheba Fund Ltd | ALYDAR QP FUND LP | Alysun Fund Ltd | Alydar Fund Ltd | Alysun QP Fund LP | | | | | | | | | | 3/A | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | Alydar Capital, LLC | Alysheba QP Fund L P | Alysun Fund LP | ALYDAR PARTNERS LLC | ALYDAR FUND LP | Alysheba Fund Ltd | ALYDAR QP FUND LP | Alysun Fund Ltd | Alydar Fund Ltd | Alysun QP Fund LP | | | | | | | | | | 3/A | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | Alydar Capital, LLC | Alysheba QP Fund L P | Alysun Fund LP | ALYDAR PARTNERS LLC | ALYDAR FUND LP | Alysheba Fund Ltd | ALYDAR QP FUND LP | Alysun Fund Ltd | Alydar Fund Ltd | Alysun QP Fund LP | | | | | | | | | | 3/A | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | Alydar Capital, LLC | Alysheba QP Fund L P | Alysun Fund LP | ALYDAR PARTNERS LLC | ALYDAR FUND LP | Alysheba Fund Ltd | ALYDAR QP FUND LP | Alysun Fund Ltd | Alydar Fund Ltd | Alysun QP Fund LP | | | | | | | | | | 3/A | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-11-04 holding as of filing | Alydar Capital, LLC | Alysheba QP Fund L P | Alysun Fund LP | ALYDAR PARTNERS LLC | ALYDAR FUND LP | Alysheba Fund Ltd | ALYDAR QP FUND LP | Alysun Fund Ltd | Alydar Fund Ltd | Alysun QP Fund LP | | | | | | | | | | 3/A | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-11-04 | ||
| 2008-10-21 holding as of filing | ALYDAR PARTNERS LLC | 3 | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-10-21 | ||
| 2008-10-21 holding as of filing | ALYDAR PARTNERS LLC | 3 | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-10-21 | ||
| 2008-10-21 holding as of filing | ALYDAR PARTNERS LLC | 3 | Heckmann Corporation Warrants Derivative · Indirect · (m) | Holding | $6.00 exercise price | 2008-10-21 | ||
| 2008-10-21 holding as of filing | ALYDAR PARTNERS LLC | 3 | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-10-21 | ||
| 2008-10-21 holding as of filing | ALYDAR PARTNERS LLC | 3 | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-10-21 | ||
| 2008-10-21 holding as of filing | ALYDAR PARTNERS LLC | 3 | Heckmann Corporation Warrants Derivative · Direct · (m) | Holding | $6.00 exercise price | 2008-10-21 | ||
| 2007-11-16 | OSBORNE ALFRED E JR Director | 4 | Founders' Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,884 94,116 owned after | $6.00 exercise price | 2008-05-29 | |
| 2007-11-16 | OSBORNE ALFRED E JR Director | 4 | Sponsors Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −500,000 594,116 owned after | $1.00 | 2008-05-29 | |
| 2007-11-16 | QUAYLE DAN Director | 4 | Founders' Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,884 94,116 owned after | $6.00 exercise price | 2007-11-16 | |
| 2007-11-16 | QUAYLE DAN Director | 4 | Sponsors' Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +500,000 594,116 owned after | $1.00 | 2007-11-16 | |
| 2007-11-16 | OSBORNE ALFRED E JR Director | 4 | Founders' Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,884 94,116 owned after | $6.00 exercise price | 2007-11-16 | |
| 2007-11-16 | OSBORNE ALFRED E JR Director | 4 | Sponsors' Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −500,000 594,116 owned after | $1.00 | 2007-11-16 | |
| 2007-11-16 | HOLTZ LOU Director | 4 | Founders' Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,768 188,232 owned after | $6.00 exercise price | 2007-11-16 | |
| 2007-11-16 | HOLTZ LOU Director | 4 | Sponsors' Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000,000 1,188,232 owned after | $1.00 | 2007-11-16 | |
| 2007-11-16 | HECKMANN RICHARD J Director, Officer (CEO, Secretary, Treasurer), 10% Owner | 4 | Founders' Warrants Derivative · Indirect · Held by Heckmann Acquisition, LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −822,264 13,152,736 owned after | $6.00 exercise price | 2007-11-16 | |
| 2007-11-16 | HECKMANN RICHARD J Director, Officer (CEO, Secretary, Treasurer), 10% Owner | 4 | Sponsors' Warrants Derivative · Indirect · Held by Heckmann Acquisition, LLC | P Open market or private purchase of non-derivative or derivative security | +5,000,000 18,152,736 owned after | $1.00 | 2007-11-16 | |
| 2007-11-09 holding as of filing | QUAYLE DAN Director | 3 | Founders' Warrants Derivative · Direct | Holding | $6.00 exercise price | 2007-11-09 | ||
| 2007-11-09 holding as of filing | OSBORNE ALFRED E JR Director | 3 | Founder's Warrants Derivative · Direct | Holding | $6.00 exercise price | 2007-11-09 | ||
| 2007-11-09 holding as of filing | HOLTZ LOU Director | 3 | Founders' Warrants Derivative · Direct | Holding | $6.00 exercise price | 2007-11-09 | ||
| 2007-11-09 holding as of filing | HECKMANN RICHARD J Director, Officer (CEO, Secretary, Treasurer), 10% Owner | 3 | Founders' Warrants Derivative · Indirect · Held by Heckmann Acquisition, LLC | Holding | $6.00 exercise price | 2007-11-09 |