Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Energy Recovery, Inc.ERII · Entity 5679 | Corporate Controller and CAO | April 03, 2019 | April 05, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Energy Recovery, Inc.
Report date April 03, 2019 · Filed April 05, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,581 |
Last balance in matching sequence
After 2019-04-03 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-04-03 · Exercise / conversion · Acquired 12,500 · Balance 24,081 F1: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2018. Row 2 · 2019-04-03 · Sale · Disposed 12,500 · Balance 11,581 F1: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2018. F2: This figure is the weighted average sales price of multiple trades ranging from $9.0000 to $9.0200 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. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.00 · Expires 2024-03-12 | Direct | 13,682 |
Reported balance
After 2019-04-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-04-03 · Exercise / conversion · Disposed 12,500 · Balance 13,682 F1: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2018. F3: This employee stock option was granted on March 12, 2014. All of the options are fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2018.
F2: This figure is the weighted average sales price of multiple trades ranging from $9.0000 to $9.0200 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.
F3: This employee stock option was granted on March 12, 2014. All of the options are fully vested and exercisable.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 03, 2019 Filed Apr 5, 2019 01:10 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001437749-19-006625 · rdgdoc.xml · derivative · entry 3 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,682 Underlying: Common Stock · 12,500 shares Expires 2024-03-12 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 13, 2018. F3 · derivative.exercise_date: This employee stock option was granted on March 12, 2014. All of the options are fully vested and exercisable. Read SEC document |
| April 03, 2019 Filed Apr 5, 2019 01:10 UTC | Energy Recovery, Inc. ERII · Entity 5679 | SaleCommon Stock | 12,500 | $9.01 | $112,590.00 |
DisclosureSEC source: 0001437749-19-006625 · rdgdoc.xml · nonDerivative · entry 2 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,581 F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2018. F2 · price: This figure is the weighted average sales price of multiple trades ranging from $9.0000 to $9.0200 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 |
| April 03, 2019 Filed Apr 5, 2019 01:10 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Exercise / conversionCommon Stock | 12,500 | $6.00 | $75,000.00 |
DisclosureSEC source: 0001437749-19-006625 · rdgdoc.xml · nonDerivative · entry 1 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,081 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 13, 2018. Read SEC document |
| March 18, 2019 Filed Mar 19, 2019 01:00 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 101 | $8.36 | $844.33 |
DisclosureSEC source: 0001437749-19-005212 · rdgdoc.xml · nonDerivative · entry 3 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,581 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 |
| March 14, 2019 Filed Mar 19, 2019 01:00 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 12,500 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001437749-19-005212 · rdgdoc.xml · derivative · entry 4 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,182 Underlying: Common Stock · 12,500 shares Expires 2024-03-12 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 13, 2018. F4 · derivative.exercise_date: This employee stock option was granted on March 12, 2014. All of the options are fully vested and exercisable. Read SEC document |
| March 14, 2019 Filed Mar 19, 2019 01:00 UTC | Energy Recovery, Inc. ERII · Entity 5679 | SaleCommon Stock | 12,500 | $9.00 | $112,502.50 |
DisclosureSEC source: 0001437749-19-005212 · rdgdoc.xml · nonDerivative · entry 2 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,682 F1 · security: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 13, 2018. F2 · price: This figure is the weighted average sales price of multiple trades ranging from $9.0000 to $9.0200 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 14, 2019 Filed Mar 19, 2019 01:00 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Exercise / conversionCommon Stock | 12,500 | $6.00 | $75,000.00 |
DisclosureSEC source: 0001437749-19-005212 · rdgdoc.xml · nonDerivative · entry 1 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,182 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 13, 2018. Read SEC document |
| February 05, 2019 Filed Feb 6, 2019 00:29 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 395 | $7.74 | $3,055.88 |
DisclosureSEC source: 0001421517-19-000015 · wf-form4_154941296440915.xml · nonDerivative · entry 3 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,682 F3 · security: Payment of tax obligation by selling 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 sold to cover tax obligation for restricted stock unit award vesting. Read SEC document |
| February 05, 2019 Filed Feb 6, 2019 00:29 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 536 | $8.41 | $4,508.94 |
DisclosureSEC source: 0001421517-19-000015 · wf-form4_154941296440915.xml · nonDerivative · entry 1 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,609 F1 · security: Payment of tax obligation by withholding 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 withheld for each restricted stock unit award vesting. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 00:29 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 532 | $7.66 | $4,076.50 |
DisclosureSEC source: 0001421517-19-000015 · wf-form4_154941296440915.xml · nonDerivative · entry 2 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,077 F3 · security: Payment of tax obligation by selling 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 sold to cover tax obligation for restricted stock unit award vesting. Read SEC document |
| February 05, 2018 Filed Feb 6, 2018 01:43 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 388 | $7.74 | $3,001.76 |
DisclosureSEC source: 0001421517-18-000032 · wf-form4_151788142483665.xml · nonDerivative · entry 3 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,145 F4 · shares: Payment of tax obligation by selling 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 sold to cover tax obligation for restricted stock unit award vesting. Read SEC document |
| February 01, 2018 Filed Feb 6, 2018 01:43 UTC | Energy Recovery, Inc. ERII · Entity 5679 | GrantEmployee Stock Option (Right to Buy) · Derivative | 8,674 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0001421517-18-000032 · wf-form4_151788142483665.xml · derivative · entry 4 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,674 Underlying: Common Stock · 8,674 shares Expires 2028-02-01 F6 · derivative.exercise_date: This employee stock option was granted on February 1, 2018. 25% of the shares fully vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75%, vest 1/36th per month. Read SEC document |
| February 01, 2018 Filed Feb 6, 2018 01:43 UTC | Energy Recovery, Inc. ERII · Entity 5679 | GrantCommon Stock | 5,000 | $7.50 | $37,500.00 |
DisclosureSEC source: 0001421517-18-000032 · wf-form4_151788142483665.xml · nonDerivative · entry 2 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,533 F3 · security: This restricted stock unit award was granted February 1, 2018 and vests 25% on each of the first four anniversaries of the grant date. Read SEC document |
| February 01, 2018 Filed Feb 6, 2018 01:43 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 54 | $8.98 | $484.92 |
DisclosureSEC source: 0001421517-18-000032 · wf-form4_151788142483665.xml · nonDerivative · entry 1 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,533 F1 · shares: Payment of tax obligation by withholding 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 withheld for each restricted stock unit award vesting. Read SEC document |
| December 13, 2017 Filed Dec 14, 2017 01:38 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 2,000 | $11.00 Strike: $6.00 | $22,000.00 |
DisclosureSEC source: 0001421517-17-000017 · wf-form4_151321551446045.xml · derivative · entry 4 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 2,000 shares Expires 2024-03-11 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 March 12, 2014. 25% of the shares fully vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75%, vest 1/36th per month. Read SEC document |
| December 13, 2017 Filed Dec 14, 2017 01:38 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 1,027 | $8.40 | $8,626.80 |
DisclosureSEC source: 0001421517-17-000017 · wf-form4_151321551446045.xml · nonDerivative · entry 3 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,587 F1 · shares: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e). Read SEC document |
| December 13, 2017 Filed Dec 14, 2017 01:38 UTC | Energy Recovery, Inc. ERII · Entity 5679 | SaleCommon Stock | 2,000 | $11.00 | $22,000.00 |
DisclosureSEC source: 0001421517-17-000017 · wf-form4_151321551446045.xml · nonDerivative · entry 2 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,614 Read SEC document |
| December 13, 2017 Filed Dec 14, 2017 01:38 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Exercise / conversionCommon Stock | 2,000 | $6.00 | $12,000.00 |
DisclosureSEC source: 0001421517-17-000017 · wf-form4_151321551446045.xml · nonDerivative · entry 1 SMITH LENOX SHARON E · CIK 0001183605 · Corp. Controller & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,614 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 02, 2017 Filed Feb 6, 2017 23:40 UTC | Energy Recovery, Inc. ERII · Entity 5679 | GrantStock Option (Right to Buy) · Derivative | 5,964 | $0.00 Strike: $10.19 | $0.00 |
DisclosureSEC source: 0001437749-17-001781 · rdgdoc.xml · derivative · entry 2 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,559 Underlying: Common Stock · 5,964 shares Expires 2027-02-02 F2 · derivative.exercise_date: 25% of these options fully vest on the 1st anniversary of the vesting start date of 02/02/2017; thereafter, the remaining 75% vest 1/36th per month. Read SEC document |
| February 02, 2017 Filed Feb 6, 2017 23:40 UTC | Energy Recovery, Inc. ERII · Entity 5679 | GrantCommon Stock | 3,680 | $10.19 | $37,499.20 |
DisclosureSEC source: 0001437749-17-001781 · rdgdoc.xml · nonDerivative · entry 1 SMITH LENOX SHARON E · CIK 0001183605 · Corporate Controller and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,614 F1 · security: Restricted Stock Units which represent a contingent right to receive shares of common stock. 25% of these restricted stock units fully vest on the 1st anniversary of the vesting start date of 02/02/2017; thereafter, the remaining 75% vest 1/36th per month. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.