Tapewire

Nasdaq · USD

ERII

Energy Recovery, Inc.

Export transactions ↓
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
February 04, 2020 Filed Feb 6, 2020 00:35 UTC
Clemente RodneySVP, Water
SaleCommon Stock 3,479 $10.41 $36,225.09
Disclosure

SEC source: 0001437749-20-001828 · rdgdoc.xml · nonDerivative · entry 3

Clemente Rodney · CIK 0001668422 · SVP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,069

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

Read SEC document
February 04, 2020 Filed Feb 6, 2020 00:35 UTC
Clemente RodneySVP, Water
Tax withholdingCommon Stock 1,201 $10.41 $12,505.41
Disclosure

SEC source: 0001437749-20-001828 · rdgdoc.xml · nonDerivative · entry 2

Clemente Rodney · CIK 0001668422 · SVP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,548

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

Read SEC document
February 04, 2020 Filed Feb 5, 2020 19:32 UTC
Smith EmilySVP, Corp Dev and Ops
SaleCommon Stock 2,675 $10.41 $27,847.82
Disclosure

SEC source: 0001437749-20-001827 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,433

F3 · 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 04, 2020 Filed Feb 5, 2020 19:32 UTC
Smith EmilySVP, Corp Dev and Ops
Tax withholdingCommon Stock 1,387 $10.41 $14,439.22
Disclosure

SEC source: 0001437749-20-001827 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,108

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

Read SEC document
February 04, 2020 Filed Feb 5, 2020 22:17 UTC
Bensalah NocairVP Operations
Tax withholdingCommon Stock 2,805 $10.41 $29,194.72
Disclosure

SEC source: 0001437749-20-001813 · rdgdoc.xml · nonDerivative · entry 2

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,390

F1 · security: 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. 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 04, 2020 Filed Feb 5, 2020 22:17 UTC
Yeung WilliamGeneral Counsel
Tax withholdingCommon Stock 3,272 $10.41 $34,046.80
Disclosure

SEC source: 0001437749-20-001812 · rdgdoc.xml · nonDerivative · entry 2

Yeung William · CIK 0001677876 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,046

F1 · security: 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. 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 03, 2020 Filed Feb 5, 2020 17:18 UTC
Ballard JoshuaChief Financial Officer
Tax withholdingCommon Stock 2,198 $10.25 $22,535.00
Disclosure

SEC source: 0001437749-20-001814 · rdgdoc.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,883

F1 · security: 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. 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 03, 2020 Filed Feb 5, 2020 19:32 UTC
Siebert EricVP, Oil and Gas
Tax withholdingCommon Stock 4,266 $10.25 $43,705.60
Disclosure

SEC source: 0001437749-20-001826 · rdgdoc.xml · nonDerivative · entry 1

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,105

F1 · security: 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. 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 03, 2020 Filed Feb 6, 2020 00:35 UTC
Clemente RodneySVP, Water
Tax withholdingCommon Stock 1,866 $10.24 $19,108.03
Disclosure

SEC source: 0001437749-20-001828 · rdgdoc.xml · nonDerivative · entry 1

Clemente Rodney · CIK 0001668422 · SVP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,749

F1 · security: 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. 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 03, 2020 Filed Feb 5, 2020 19:32 UTC
Smith EmilySVP, Corp Dev and Ops
Tax withholdingCommon Stock 1,848 $10.26 $18,952.16
Disclosure

SEC source: 0001437749-20-001827 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,495

F1 · security: 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. 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 03, 2020 Filed Feb 5, 2020 22:19 UTC
Ghasripoor FarshadChief Technology Officer
Tax withholdingCommon Stock 5,204 $10.25 $53,339.96
Disclosure

SEC source: 0001437749-20-001815 · rdgdoc.xml · nonDerivative · entry 1

Ghasripoor Farshad · CIK 0001723522 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,421

F1 · security: 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. 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 03, 2020 Filed Feb 5, 2020 22:17 UTC
Bensalah NocairVP Operations
Tax withholdingCommon Stock 1,073 $10.24 $10,991.38
Disclosure

SEC source: 0001437749-20-001813 · rdgdoc.xml · nonDerivative · entry 1

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,195

F1 · security: 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. 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 03, 2020 Filed Feb 5, 2020 22:17 UTC
Yeung WilliamGeneral Counsel
Tax withholdingCommon Stock 1,851 $10.24 $18,958.87
Disclosure

SEC source: 0001437749-20-001812 · rdgdoc.xml · nonDerivative · entry 1

Yeung William · CIK 0001677876 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,318

F1 · security: 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. 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
January 31, 2020 Filed Feb 4, 2020 16:02 UTC
Ballard JoshuaChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 54,429 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001437749-20-001683 · rdgdoc.xml · derivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,429

Underlying: Common Stock · 54,429 shares

Expires 2030-01-31

F1 · derivative.exercise_date: This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 16:03 UTC
Siebert EricVP, Oil and Gas
GrantEmployee Stock Option (Right to Buy) · Derivative 27,215 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001437749-20-001686 · rdgdoc.xml · derivative · entry 2

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,215

Underlying: Common Stock · 27,215 shares

Expires 2030-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 16:03 UTC
Siebert EricVP, Oil and Gas
GrantCommon Stock 15,915 $10.21 $162,492.15
Disclosure

SEC source: 0001437749-20-001686 · rdgdoc.xml · nonDerivative · entry 1

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,371

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's Common Stock.

F2 · security: The restricted stock unit was granted on January 31, 2020 and vests 25% on each of the first four anniversaries of the grant date.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:02 UTC
Clemente RodneySVP, Water
GrantEmployee Stock Option (Right to Buy) · Derivative 29,308 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001437749-20-001682 · rdgdoc.xml · derivative · entry 2

Clemente Rodney · CIK 0001668422 · SVP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,308

Underlying: Common Stock · 29,308 shares

Expires 2030-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:02 UTC
Clemente RodneySVP, Water
GrantCommon Stock 17,140 $10.21 $174,999.40
Disclosure

SEC source: 0001437749-20-001682 · rdgdoc.xml · nonDerivative · entry 1

Clemente Rodney · CIK 0001668422 · SVP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,615

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's Common Stock.

F2 · security: The restricted stock unit was granted on January 31, 2020 and vests 25% on each of the first four anniversaries of the grant date.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 16:05 UTC
Smith EmilySVP, Corp Dev and Ops
GrantEmployee Stock Option (Right to Buy) · Derivative 29,308 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001437749-20-001688 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,308

Underlying: Common Stock · 29,308 shares

Expires 2030-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 16:05 UTC
Smith EmilySVP, Corp Dev and Ops
GrantCommon Stock 17,140 $10.21 $174,999.40
Disclosure

SEC source: 0001437749-20-001688 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,343

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's Common Stock.

F2 · security: The restricted stock unit was granted on January 31, 2020 and vests 25% on each of the first four anniversaries of the grant date.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:05 UTC
Yeung WilliamGeneral Counsel
GrantEmployee Stock Option (Right to Buy) · Derivative 23,027 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001437749-20-001691 · rdgdoc.xml · derivative · entry 2

Yeung William · CIK 0001677876 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,027

Underlying: Common Stock · 23,027 shares

Expires 2030-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:05 UTC
Yeung WilliamGeneral Counsel
GrantCommon Stock 13,467 $10.21 $137,498.07
Disclosure

SEC source: 0001437749-20-001691 · rdgdoc.xml · nonDerivative · entry 1

Yeung William · CIK 0001677876 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,169

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's Common Stock.

F2 · security: The restricted stock unit was granted on January 31, 2020 and vests 25% on each of the first four anniversaries of the grant date.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:04 UTC
Bensalah NocairVP Operations
GrantEmployee Stock Option (Right to Buy) · Derivative 20,097 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001437749-20-001687 · rdgdoc.xml · derivative · entry 2

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,097

Underlying: Common Stock · 20,097 shares

Expires 2030-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:04 UTC
Bensalah NocairVP Operations
GrantCommon Stock 11,753 $10.21 $119,998.13
Disclosure

SEC source: 0001437749-20-001687 · rdgdoc.xml · nonDerivative · entry 1

Bensalah Nocair · CIK 0001544254 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,268

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's Common Stock.

F2 · security: The restricted stock unit was granted on January 31, 2020 and vests 25% on each of the first four anniversaries of the grant date.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:03 UTC
Ghasripoor FarshadChief Technology Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 27,215 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001437749-20-001684 · rdgdoc.xml · derivative · entry 2

Ghasripoor Farshad · CIK 0001723522 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,215

Underlying: Common Stock · 27,215 shares

Expires 2030-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:03 UTC
Ghasripoor FarshadChief Technology Officer
GrantCommon Stock 15,915 $10.21 $162,492.15
Disclosure

SEC source: 0001437749-20-001684 · rdgdoc.xml · nonDerivative · entry 1

Ghasripoor Farshad · CIK 0001723522 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,625

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's Common Stock.

F2 · security: The restricted stock unit was granted on January 31, 2020 and vests 25% on each of the first four anniversaries of the grant date.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:01 UTC
Proctor Stacy LeaVP, Human Resources
GrantEmployee Stock Option (Right to Buy) · Derivative 20,097 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001437749-20-001681 · rdgdoc.xml · derivative · entry 2

Proctor Stacy Lea · CIK 0001777632 · VP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,097

Underlying: Common Stock · 20,097 shares

Expires 2030-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2020. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 21:01 UTC
Proctor Stacy LeaVP, Human Resources
GrantCommon Stock 11,753 $10.21 $119,998.13
Disclosure

SEC source: 0001437749-20-001681 · rdgdoc.xml · nonDerivative · entry 1

Proctor Stacy Lea · CIK 0001777632 · VP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,753

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's Common Stock.

F2 · security: The restricted stock unit was granted on January 31, 2020 and vests 25% on each of the first four anniversaries of the grant date.

Read SEC document
January 21, 2020 Filed Jan 21, 2020 21:00 UTC
Siebert EricVP, Oil and Gas
Tax withholdingCommon Stock 426 $9.28 $3,953.28
Disclosure

SEC source: 0001437749-20-000947 · rdgdoc.xml · nonDerivative · entry 5

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,456

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
January 17, 2020 Filed Jan 21, 2020 21:00 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 2,200 $0.00 Strike: $2.61 $0.00
Disclosure

SEC source: 0001437749-20-000947 · rdgdoc.xml · derivative · entry 7

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,200 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
January 17, 2020 Filed Jan 21, 2020 21:00 UTC
Siebert EricVP, Oil and Gas
SaleCommon Stock 2,200 $10.54 $23,197.46
Disclosure

SEC source: 0001437749-20-000947 · rdgdoc.xml · nonDerivative · entry 4

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,882

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 $10.51 to $10.58 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
January 17, 2020 Filed Jan 21, 2020 21:00 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionCommon Stock 2,200 $2.61 $5,742.00
Disclosure

SEC source: 0001437749-20-000947 · rdgdoc.xml · nonDerivative · entry 3

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,082

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
January 16, 2020 Filed Jan 21, 2020 21:00 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 11,354 $0.00 Strike: $2.61 $0.00
Disclosure

SEC source: 0001437749-20-000947 · rdgdoc.xml · derivative · entry 6

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,354 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
January 16, 2020 Filed Jan 21, 2020 21:00 UTC
Siebert EricVP, Oil and Gas
SaleCommon Stock 11,354 $10.51 $119,281.72
Disclosure

SEC source: 0001437749-20-000947 · rdgdoc.xml · nonDerivative · entry 2

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,882

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 $10.50 to $10.53 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
January 16, 2020 Filed Jan 21, 2020 21:00 UTC
Siebert EricVP, Oil and Gas
Exercise / conversionCommon Stock 11,354 $2.61 $29,633.94
Disclosure

SEC source: 0001437749-20-000947 · rdgdoc.xml · nonDerivative · entry 1

Siebert Eric · CIK 0001668414 · VP, Oil and Gas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,236

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
January 13, 2020 Filed Jan 13, 2020 22:50 UTC Tax withholdingCommon Stock 117 $9.81 $1,147.77
Disclosure

SEC source: 0001437749-20-000559 · rdgdoc.xml · nonDerivative · entry 2

Clemente Rodney · CIK 0001668422 · VP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,475

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
January 13, 2020 Filed Jan 14, 2020 02:21 UTC
Ghasripoor FarshadVP, Chief Technology Officer
Tax withholdingCommon Stock 479 $9.28 $4,443.97
Disclosure

SEC source: 0001437749-20-000562 · rdgdoc.xml · nonDerivative · entry 2

Ghasripoor Farshad · CIK 0001723522 · VP, Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,710

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

F3 · price: Represents the weighted average stock price of the shares withheld to cover the tax obligation for each restricted stock 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

Read SEC document
January 09, 2020 Filed Jan 13, 2020 22:50 UTC SaleCommon Stock 212 $9.80 $2,077.60
Disclosure

SEC source: 0001437749-20-000559 · rdgdoc.xml · nonDerivative · entry 1

Clemente Rodney · CIK 0001668422 · VP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,592

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 14, 2019.

Read SEC document
January 09, 2020 Filed Jan 14, 2020 02:21 UTC
Ghasripoor FarshadVP, Chief Technology Officer
SaleCommon Stock 2,869 $10.00 $28,690.00
Disclosure

SEC source: 0001437749-20-000562 · rdgdoc.xml · nonDerivative · entry 1

Ghasripoor Farshad · CIK 0001723522 · VP, Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,189

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 14, 2019.

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December 12, 2019 Filed Dec 17, 2019 16:03 UTC SaleCommon Stock 150,000 $8.73 $1,309,365.00
Disclosure

SEC source: 0001437749-19-024525 · rdgdoc.xml · nonDerivative · entry 1

Lorentzen Ole Peter · CIK 0001429459 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 8,340,334

F1 · price: This figure is the weighted average sales price of multiple trades. 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.

F2 · ownership.nature: Mr. Lorentzen is the controlling owner of Ludvig Lorentzen AS. The Issuer's Common Shares reported on this Form 4 as beneficially owned by Mr. Lorentzen include 7,7000,000 Common Shares held by Ludvig Lorentzen AS and Common Shares held in other accounts controlled by Mr. Lorenten.

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December 11, 2019 Filed Dec 11, 2019 23:09 UTC Tax withholdingCommon Stock 100 $8.78 $878.00
Disclosure

SEC source: 0001437749-19-024243 · rdgdoc.xml · nonDerivative · entry 2

Clemente Rodney · CIK 0001668422 · VP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,804

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

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December 09, 2019 Filed Dec 11, 2019 23:09 UTC SaleCommon Stock 230 $8.75 $2,011.53
Disclosure

SEC source: 0001437749-19-024243 · rdgdoc.xml · nonDerivative · entry 1

Clemente Rodney · CIK 0001668422 · VP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,904

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 14, 2019.

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December 03, 2019 Filed Dec 5, 2019 23:27 UTC Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 39,787 $0.00 Strike: $2.92 $0.00
Disclosure

SEC source: 0001437749-19-023950 · rdgdoc.xml · derivative · entry 3

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 39,787 shares

Expires 2025-06-23

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.

F2 · derivative.exercise_date: This employee stock option was granted on June 23, 2015. All of the options are fully vested and exercisable.

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December 03, 2019 Filed Dec 5, 2019 23:27 UTC SaleCommon Stock 39,787 $8.61 $342,665.54
Disclosure

SEC source: 0001437749-19-023950 · 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 $8.55 to $8.70 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.

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December 03, 2019 Filed Dec 5, 2019 23:27 UTC Exercise / conversionCommon Stock 39,787 $2.92 $116,178.04
Disclosure

SEC source: 0001437749-19-023950 · rdgdoc.xml · nonDerivative · entry 1

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,135,587

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.

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November 13, 2019 Filed Nov 13, 2019 22:05 UTC Tax withholdingCommon Stock 100 $9.46 $946.00
Disclosure

SEC source: 0001437749-19-022701 · rdgdoc.xml · nonDerivative · entry 2

Clemente Rodney · CIK 0001668422 · VP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,134

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

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November 12, 2019 Filed Nov 14, 2019 22:08 UTC Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 13,605 $0.00 Strike: $2.92 $0.00
Disclosure

SEC source: 0001437749-19-022948 · rdgdoc.xml · derivative · entry 3

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,787

Underlying: Common Stock · 13,605 shares

Expires 2025-06-23

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.

F2 · derivative.exercise_date: This employee stock option was granted on June 23, 2015. All of the options are fully vested and exercisable.

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November 12, 2019 Filed Nov 14, 2019 22:08 UTC SaleCommon Stock 13,605 $9.22 $125,451.71
Disclosure

SEC source: 0001437749-19-022948 · 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 $9.20 to $9.32 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.

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November 12, 2019 Filed Nov 14, 2019 22:08 UTC Exercise / conversionCommon Stock 13,605 $2.92 $39,726.60
Disclosure

SEC source: 0001437749-19-022948 · rdgdoc.xml · nonDerivative · entry 1

Hanstveit Arve · CIK 0001430122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,109,405

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
November 11, 2019 Filed Nov 13, 2019 22:05 UTC SaleCommon Stock 230 $9.39 $2,158.55
Disclosure

SEC source: 0001437749-19-022701 · rdgdoc.xml · nonDerivative · entry 1

Clemente Rodney · CIK 0001668422 · VP, Water

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,234

F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 14, 2019.

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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.