Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Energy Recovery, Inc.ERII · Entity 5679 | President and CEO | February 14, 2018 | February 16, 2018 |
| LIQTECH INTERNATIONAL INCLIQT · Entity 7695 | Director | November 01, 2018 | November 15, 2018 |
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 February 14, 2018 · Filed February 16, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 95,051 |
Ending reported balance
After 2018-02-14 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-02-14 · Tax withholding · Disposed 405 · Balance 97,476 F1: Represents RSU vestings from February 1, 2018 through February 14, 2018. F2: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e). F3: Represents the weighted average stock price of the shares withheld for each restricted stock unit award vesting. Row 2 · 2018-02-14 · Tax withholding · Disposed 2,425 · Balance 95,051 F4: Payment of tax obligation by selling securities incident to the vesting of securities in accordance with Rule 16b-3(e). F5: Represents the weighted average stock price of the shares sold to cover tax obligation for restricted stock unit award vesting. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents RSU vestings from February 1, 2018 through February 14, 2018.
F2: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).
F3: Represents the weighted average stock price of the shares withheld for each restricted stock unit award vesting.
F4: Payment of tax obligation by selling securities incident to the vesting of securities in accordance with Rule 16b-3(e).
F5: Represents the weighted average stock price of the shares sold to cover tax obligation for restricted stock unit award vesting.
LIQTECH INTERNATIONAL INC
Report date November 01, 2018 · Filed November 15, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 100,000 |
Reported balance
Holding disclosure · report date 2018-11-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 100,000 F1: On November 1, 2018, Mr. Gay was appointed to serve as a member of the Board of Directors of LiqTech International, Inc. For Board service, Mr. Gay will receive an initial grant of 100,000 restricted shares of common stock which shall vest annually over a three year period. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 1, 2018, Mr. Gay was appointed to serve as a member of the Board of Directors of LiqTech International, Inc. For Board service, Mr. Gay will receive an initial grant of 100,000 restricted shares of common stock which shall vest annually over a three year period.
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 |
|---|---|---|---|---|---|---|
| February 14, 2018 Filed Feb 16, 2018 11:06 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 2,425 | $7.65 | $18,539.13 |
DisclosureSEC source: 0001421517-18-000037 · wf-form4_151879719990013.xml · nonDerivative · entry 2 Gay Joel · CIK 0001612340 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,051 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 14, 2018 Filed Feb 16, 2018 11:06 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 405 | $7.31 | $2,960.55 |
DisclosureSEC source: 0001421517-18-000037 · wf-form4_151879719990013.xml · nonDerivative · entry 1 Gay Joel · CIK 0001612340 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,476 F1 · date: Represents RSU vestings from February 1, 2018 through February 14, 2018. F2 · shares: 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 for each restricted stock unit award vesting. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 20:44 UTC | Energy Recovery, Inc. ERII · Entity 5679 | GrantEmployee Stock Option (Right to Buy) · Derivative | 173,491 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0001421517-18-000034 · wf-form4_151788146083787.xml · derivative · entry 3 Gay Joel · CIK 0001612340 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,491 Underlying: Common Stock · 173,491 shares Expires 2028-02-01 F4 · 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 5, 2018 20:44 UTC | Energy Recovery, Inc. ERII · Entity 5679 | GrantCommon Stock | 33,333 | $7.50 | $249,997.50 |
DisclosureSEC source: 0001421517-18-000034 · wf-form4_151788146083787.xml · nonDerivative · entry 2 Gay Joel · CIK 0001612340 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,881 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 5, 2018 20:44 UTC | Energy Recovery, Inc. ERII · Entity 5679 | Tax withholdingCommon Stock | 8,173 | $8.42 | $68,816.66 |
DisclosureSEC source: 0001421517-18-000034 · wf-form4_151788146083787.xml · nonDerivative · entry 1 Gay Joel · CIK 0001612340 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,548 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 |
| February 10, 2017 Filed Feb 16, 2017 16:50 UTC | Energy Recovery, Inc. ERII · Entity 5679 | GrantStock Option (Right to Buy) · Derivative | 122,810 | $0.00 Strike: $9.90 | $0.00 |
DisclosureSEC source: 0001437749-17-002695 · rdgdoc.xml · derivative · entry 2 Gay Joel · CIK 0001612340 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 751,054 Underlying: Common Stock · 122,810 shares Expires 2027-02-10 F2 · derivative.exercise_date: 25% of these options fully vest on the 1st anniversary of the vesting start date of 02/10/2017; thereafter, the remaining 75% vest 1/36th per month. Read SEC document |
| February 10, 2017 Filed Feb 16, 2017 16:50 UTC | Energy Recovery, Inc. ERII · Entity 5679 | GrantCommon Stock | 25,252 | $9.90 | $249,994.80 |
DisclosureSEC source: 0001437749-17-002695 · rdgdoc.xml · nonDerivative · entry 1 Gay Joel · CIK 0001612340 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,721 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, 2nd, 3rd, and 4th anniversary of the vesting start date of 02/10/2017. 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.