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Nasdaq · USD

ERII

Energy Recovery, Inc.

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Tapewire entity
5679
SEC CIK
0001421517
Parsed reports
399

Last 12 months

Inside the activity.

2 purchase rows · 17 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202502
Jan 202601
Feb 202604
Mar 202605
Apr 202602
May 202610
Jun 202611
Jul 202602
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 20, 2020 Filed May 22, 2020 21:29 UTC
Mao Robert Yu LangDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 223,613 $0.00 Strike: $7.79 $0.00
Disclosure

SEC source: 0001437749-20-011679 · rdgdoc.xml · derivative · entry 1

MAO ROBERT YU LANG · CIK 0001232218 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,613

Underlying: Common Stock · 223,613 shares

Expires 2030-05-20

F1 · derivative.exercise_date: This employee stock option was granted on May 20, 2020. 25% of the underlying shares vest on the 1st anniversary of the vesting commencement date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
May 12, 2020 Filed May 14, 2020 19:00 UTC SaleCommon Stock 1,500,000 $7.52 $11,280,000.00
Disclosure

SEC source: 0001437749-20-010824 · rdgdoc.xml · nonDerivative · entry 1

Lorentzen Ole Peter · CIK 0001429459 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 6,840,334

F1 · ownership.nature: The filing persons of this Form 4 are Ole Peter Lorentzen and Ludvig Lorentzen AS. Mr. Lorentzen is the controlling shareholder of Ludvig Lorentzen AS. The sale reported on this Form 4 was made pursuant to a registration statement on Form S-3 (File No. 333-233730). After giving effect to the sale reported on this Form 4, the shares of common stock beneficially owned by Mr. Lorentzen include 6,400,000 shares of common stock held by Ludvig Lorentzen AS and 440,334 shares of common stock held in other accounts controlled by Mr. Lorentzen. The filing persons disclaim beneficial ownership of the securities reported on this Form 4 except to the extent of their pecuniary interest therein.

Read SEC document
March 24, 2020 Filed Apr 8, 2020 22:41 UTC SaleCommon Stock 14,000 $7.12 $99,622.60
Disclosure

SEC source: 0001437749-20-007352 · rdgdoc.xml · nonDerivative · entry 3

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,049,733

F1 · shares: The sales reported in this Form 4 were made by a broker, without instruction by the reporting person, to satisfy a margin call by the broker, to whom these shares were pledged as collateral for a margin account.

Read SEC document
March 24, 2020 Filed Apr 8, 2020 22:41 UTC SaleCommon Stock 9,000 $7.04 $63,344.70
Disclosure

SEC source: 0001437749-20-007352 · rdgdoc.xml · nonDerivative · entry 2

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,063,733

F1 · shares: The sales reported in this Form 4 were made by a broker, without instruction by the reporting person, to satisfy a margin call by the broker, to whom these shares were pledged as collateral for a margin account.

Read SEC document
March 20, 2020 Filed Apr 8, 2020 22:41 UTC SaleCommon Stock 23,067 $7.11 $163,923.33
Disclosure

SEC source: 0001437749-20-007352 · rdgdoc.xml · nonDerivative · entry 1

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,072,733

F1 · shares: The sales reported in this Form 4 were made by a broker, without instruction by the reporting person, to satisfy a margin call by the broker, to whom these shares were pledged as collateral for a margin account.

Read SEC document
March 12, 2020 Filed Mar 13, 2020 00:27 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 14,820 $0.00 Strike: $3.53 $0.00
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · derivative · entry 9

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,820 shares

Expires 2025-02-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This employee stock option was granted on February 6, 2015. All of the options are fully vested and exercisable.

Read SEC document
March 12, 2020 Filed Mar 13, 2020 00:27 UTC SaleCommon Stock 14,820 $7.22 $107,015.22
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · nonDerivative · entry 6

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,095,800

Read SEC document
March 12, 2020 Filed Mar 13, 2020 00:27 UTC Exercise / conversionCommon Stock 14,820 $3.53 $52,314.60
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · nonDerivative · entry 5

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,110,620

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 11, 2020 Filed Mar 11, 2020 19:57 UTC
Smith EmilySVP, Corp Dev and Ops
Tax withholdingCommon Stock 115 $10.50 $1,207.50
Disclosure

SEC source: 0001437749-20-004841 · rdgdoc.xml · nonDerivative · entry 2

Smith Emily · CIK 0001668423 · SVP, Corp Dev and Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,108

F2 · security: Payment of tax obligation by withholding securities incident to the vesting of the securities in accordance with Rule 16b-3(e).

Read SEC document
March 11, 2020 Filed Mar 13, 2020 00:27 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 14,818 $0.00 Strike: $3.53 $0.00
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · derivative · entry 8

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,820

Underlying: Common Stock · 14,818 shares

Expires 2025-02-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This employee stock option was granted on February 6, 2015. All of the options are fully vested and exercisable.

Read SEC document
March 11, 2020 Filed Mar 13, 2020 00:27 UTC SaleCommon Stock 14,818 $8.69 $128,697.29
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · nonDerivative · entry 4

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,095,800

F2 · price: This figure is the weighted average sales price of multiple trades ranging from $8.50 to $9.02 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

Read SEC document
March 11, 2020 Filed Mar 13, 2020 00:27 UTC Exercise / conversionCommon Stock 14,818 $3.53 $52,307.54
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · nonDerivative · entry 3

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,110,618

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 10, 2020 Filed Mar 11, 2020 19:57 UTC
Smith EmilySVP, Corp Dev and Ops
SaleCommon Stock 829 $8.86 $7,344.94
Disclosure

SEC source: 0001437749-20-004841 · rdgdoc.xml · nonDerivative · entry 1

Smith Emily · CIK 0001668423 · SVP, Corp Dev and Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,223

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2019.

Read SEC document
March 10, 2020 Filed Mar 13, 2020 00:27 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 14,818 $0.00 Strike: $3.53 $0.00
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · derivative · entry 7

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,638

Underlying: Common Stock · 14,818 shares

Expires 2025-02-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This employee stock option was granted on February 6, 2015. All of the options are fully vested and exercisable.

Read SEC document
March 10, 2020 Filed Mar 13, 2020 00:27 UTC SaleCommon Stock 14,818 $8.61 $127,620.03
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · nonDerivative · entry 2

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,095,800

F1 · price: This figure is the weighted average sales price of multiple trades ranging from $8.50 to $9.0918 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

Read SEC document
March 10, 2020 Filed Mar 13, 2020 00:27 UTC Exercise / conversionCommon Stock 14,818 $3.53 $52,307.54
Disclosure

SEC source: 0001437749-20-005020 · rdgdoc.xml · nonDerivative · entry 1

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,110,618

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 24, 2020 Filed Feb 24, 2020 21:02 UTC
Smith EmilySVP, Corp Dev and Ops
Tax withholdingCommon Stock 125 $10.42 $1,302.50
Disclosure

SEC source: 0001437749-20-003420 · rdgdoc.xml · nonDerivative · entry 3

Smith Emily · CIK 0001668423 · SVP, Corp Dev and Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,052

F3 · security: Payment of tax obligation by withholding securities incident to the vesting of the securities in accordance with Rule 16b-3(e).

Read SEC document
February 21, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,900 $0.00 Strike: $2.61 $0.00
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · derivative · entry 10

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,602

Underlying: Common Stock · 1,900 shares

Expires 2025-06-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

F5 · derivative.exercise_date: This employee stock option was granted on June 8, 2015. All of the options are fully vested and exercisable.

Read SEC document
February 21, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
Tax withholdingCommon Stock 101 $10.42 $1,052.42
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · nonDerivative · entry 7

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,004

F4 · security: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

Read SEC document
February 21, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
SaleCommon Stock 1,900 $11.02 $20,935.91
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · nonDerivative · entry 6

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,105

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

F3 · price: This figure is the weighted average sales price of multiple trades ranging from $11.00 to $11.05 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

Read SEC document
February 21, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionCommon Stock 1,900 $2.61 $4,959.00
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · nonDerivative · entry 5

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,005

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

Read SEC document
February 21, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,799 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · derivative · entry 13

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,674

Underlying: Common Stock · 1,799 shares

Expires 2025-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

F5 · derivative.exercise_date: This employee stock option was granted on March 10, 2015. All of the options are fully vested and exercisable.

Read SEC document
February 21, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Tax withholdingCommon Stock 97 $10.42 $1,010.74
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 9

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,867

F4 · security: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

Read SEC document
February 21, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
SaleCommon Stock 1,799 $11.02 $19,823.00
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 8

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,964

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

F3 · price: This figure is the weighted average sales price of multiple trades ranging from $11.00 to $11.05 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

Read SEC document
February 21, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Exercise / conversionCommon Stock 1,799 $2.75 $4,947.25
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 7

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,763

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

Read SEC document
February 21, 2020 Filed Feb 24, 2020 21:02 UTC
Smith EmilySVP, Corp Dev and Ops
SaleCommon Stock 180 $11.00 $1,980.00
Disclosure

SEC source: 0001437749-20-003420 · rdgdoc.xml · nonDerivative · entry 2

Smith Emily · CIK 0001668423 · SVP, Corp Dev and Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,177

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2019.

Read SEC document
February 20, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 17,298 $0.00 Strike: $2.61 $0.00
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · derivative · entry 9

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,502

Underlying: Common Stock · 17,298 shares

Expires 2025-06-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

F5 · derivative.exercise_date: This employee stock option was granted on June 8, 2015. All of the options are fully vested and exercisable.

Read SEC document
February 20, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
SaleCommon Stock 17,298 $11.01 $190,485.58
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · nonDerivative · entry 4

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,105

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

F2 · price: This figure is the weighted average sales price of multiple trades ranging from $11.00 to $11.07 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

Read SEC document
February 20, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionCommon Stock 17,298 $2.61 $45,147.78
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · nonDerivative · entry 3

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,403

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

Read SEC document
February 20, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 16,042 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · derivative · entry 12

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,473

Underlying: Common Stock · 16,042 shares

Expires 2025-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

F5 · derivative.exercise_date: This employee stock option was granted on March 10, 2015. All of the options are fully vested and exercisable.

Read SEC document
February 20, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,124 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · derivative · entry 11

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,124 shares

Expires 2025-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

F5 · derivative.exercise_date: This employee stock option was granted on March 10, 2015. All of the options are fully vested and exercisable.

Read SEC document
February 20, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
SaleCommon Stock 16,042 $11.01 $176,686.59
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 6

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,964

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

F2 · price: This figure is the weighted average sales price of multiple trades ranging from $11.00 to $11.07 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

Read SEC document
February 20, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Exercise / conversionCommon Stock 16,042 $2.75 $44,115.50
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 5

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,006

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

Read SEC document
February 20, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
SaleCommon Stock 1,124 $11.01 $12,379.74
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 4

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,964

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

F2 · price: This figure is the weighted average sales price of multiple trades ranging from $11.00 to $11.07 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

Read SEC document
February 20, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Exercise / conversionCommon Stock 1,124 $2.75 $3,091.00
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 3

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

Read SEC document
February 20, 2020 Filed Feb 24, 2020 21:02 UTC
Smith EmilySVP, Corp Dev and Ops
SaleCommon Stock 7,683 $11.02 $84,648.99
Disclosure

SEC source: 0001437749-20-003420 · rdgdoc.xml · nonDerivative · entry 1

Smith Emily · CIK 0001668423 · SVP, Corp Dev and Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,357

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2019.

F2 · price: This figure is the weighted average sales price of multiple transactions. The Reporting Person undertakes to provide the SEC staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

Read SEC document
February 19, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,100 $0.00 Strike: $2.61 $0.00
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · derivative · entry 8

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,800

Underlying: Common Stock · 1,100 shares

Expires 2025-06-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

F5 · derivative.exercise_date: This employee stock option was granted on June 8, 2015. All of the options are fully vested and exercisable.

Read SEC document
February 19, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
SaleCommon Stock 1,100 $11.00 $12,100.00
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · nonDerivative · entry 2

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,105

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

Read SEC document
February 19, 2020 Filed Feb 21, 2020 21:18 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionCommon Stock 1,100 $2.61 $2,871.00
Disclosure

SEC source: 0001437749-20-003293 · rdgdoc.xml · nonDerivative · entry 1

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,205

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

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February 19, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,604 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · derivative · entry 10

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,124

Underlying: Common Stock · 1,604 shares

Expires 2025-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

F5 · derivative.exercise_date: This employee stock option was granted on March 10, 2015. All of the options are fully vested and exercisable.

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February 19, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
SaleCommon Stock 1,604 $11.00 $17,644.00
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 2

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,964

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

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February 19, 2020 Filed Feb 22, 2020 02:06 UTC
Bensalah NocairVP Operations
Exercise / conversionCommon Stock 1,604 $2.75 $4,411.00
Disclosure

SEC source: 0001437749-20-003292 · rdgdoc.xml · nonDerivative · entry 1

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,568

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 15, 2019.

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February 05, 2020 Filed Feb 5, 2020 19:32 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 11,446 $0.00 Strike: $2.61 $0.00
Disclosure

SEC source: 0001437749-20-001826 · rdgdoc.xml · derivative · entry 4

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 11,446 shares

Expires 2025-06-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: This employee stock option was granted on June 8, 2015. All of the options are fully vested and exercisable.

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February 05, 2020 Filed Feb 5, 2020 19:32 UTC
Siebert EricVP, Oil and Gas
SaleCommon Stock 11,446 $10.53 $120,575.60
Disclosure

SEC source: 0001437749-20-001826 · rdgdoc.xml · nonDerivative · entry 3

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,105

F3 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

F4 · price: This figure is the weighted average sales price of multiple transactions. The Reporting Person undertakes to provide the SEC staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

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February 05, 2020 Filed Feb 5, 2020 19:32 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionCommon Stock 11,446 $2.61 $29,874.06
Disclosure

SEC source: 0001437749-20-001826 · rdgdoc.xml · nonDerivative · entry 2

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,551

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 12, 2019.

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February 05, 2020 Filed Feb 6, 2020 00:35 UTC
Clemente RodneySVP, Water
SaleCommon Stock 5,123 $10.54 $54,008.72
Disclosure

SEC source: 0001437749-20-001828 · rdgdoc.xml · nonDerivative · entry 4

Clemente Rodney · CIK 0001668422 · SVP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,946

F3 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 14, 2019.

F4 · price: This figure is the weighted average sales price of multiple transactions. The Reporting Person undertakes to provide the SEC staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

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February 05, 2020 Filed Feb 5, 2020 19:32 UTC
Smith EmilySVP, Corp Dev and Ops
SaleCommon Stock 4,684 $10.55 $49,398.87
Disclosure

SEC source: 0001437749-20-001827 · rdgdoc.xml · nonDerivative · entry 5

Smith Emily · CIK 0001668423 · SVP, Corp Dev and Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,040

F3 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2019.

F6 · price: This figure is the weighted average sales price of multiple transactions. The Reporting Person undertakes to provide the SEC staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

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February 05, 2020 Filed Feb 5, 2020 19:32 UTC
Smith EmilySVP, Corp Dev and Ops
Tax withholdingCommon Stock 709 $9.48 $6,721.32
Disclosure

SEC source: 0001437749-20-001827 · rdgdoc.xml · nonDerivative · entry 4

Smith Emily · CIK 0001668423 · SVP, Corp Dev and Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,724

F4 · security: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

F5 · price: Represents the weighted average stock price of the shares withheld to cover the tax obligation for each restricted unit award vesting. The Reporting Person undertakes to provide the SEC staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

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February 05, 2020 Filed Feb 5, 2020 22:17 UTC
Bensalah NocairVP Operations
Tax withholdingCommon Stock 426 $9.28 $3,953.28
Disclosure

SEC source: 0001437749-20-001813 · rdgdoc.xml · nonDerivative · entry 3

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,964

F3 · security: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

F4 · price: Represents the weighted average stock price of the shares withheld to cover the tax obligation for each restricted unit award vesting. The Reporting Person undertakes to provide the SEC staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request.

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February 05, 2020 Filed Jun 8, 2021 21:42 UTC
Clemente RodneySVP, Water
Tax withholdingCommon Stock 1,632 $10.41 $16,993.20
Disclosure

SEC source: 0001421517-21-000072 · wf-form4_162318854681911.xml · nonDerivative · entry 1

Clemente Rodney · CIK 0001668422 · SVP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,665

F1 · shares: Payment of tax obligation by selling securities incident to the vesting of securities in accordance with Rule 16b-3(e).

F2 · price: Represents the weighted average stock price of the shares sold to cover tax obligation for restricted stock unit award vesting.

F3 · balance_after: The amount of shares beneficially owned has been adjusted to include both the sale of shares for the February 5, 2020 sell to cover tax obligation transaction and the 63 shares over reported on sale of common stock amendment reported on the April 5, 2019 amendment to Form 4, filed on June 8, 2021.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.