Ballard Joshua

SEC source: 0001970622-25-000051 · wk-form4_1755289034.xml · derivative · entry 2

Ballard Joshua · CIK 0001751098 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,984

Underlying: Common Stock, par value $0.0001 per share · 181,984 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock unit ("RSU") will vest in three equal tranches. 33 1/3% of the RSU will vest on May 20, 2026, May 20, 2027, and May 20, 2028, respectively. If the vesting date occurs during a closed Trading Window under the Issuer's Insider Trading Policy, then the RSUs shall vest on the first Trading Day of the next open Trading Window pursuant to the Issuer's Insider Trading Policy, subject in all cases to any applicable outside dates required to comply with applicable tax laws and the terms of the Issuer's Amended and Restated 2024 Omnibus Incentive Plan.

F3 · derivative.expiration_date: The restricted stock unit ("RSU") will vest in three equal tranches. 33 1/3% of the RSU will vest on May 20, 2026, May 20, 2027, and May 20, 2028, respectively. If the vesting date occurs during a closed Trading Window under the Issuer's Insider Trading Policy, then the RSUs shall vest on the first Trading Day of the next open Trading Window pursuant to the Issuer's Insider Trading Policy, subject in all cases to any applicable outside dates required to comply with applicable tax laws and the terms of the Issuer's Amended and Restated 2024 Omnibus Incentive Plan.

SEC source: 0001970622-25-000051 · wk-form4_1755289034.xml · derivative · entry 1

Ballard Joshua · CIK 0001751098 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,992

Underlying: Common Stock, par value $0.0001 per share · 90,992 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock unit ("RSU") will vest in two equal tranches. 50% of the RSU will vest on May 20, 2026 and May 20, 2027, respectively. If the vesting date occurs during a closed Trading Window under the Issuer's Insider Trading Policy, then the RSUs shall vest on the first Trading Day of the next open Trading Window pursuant to the Issuer's Insider Trading Policy, subject in all cases to any applicable outside dates required to comply with applicable tax laws and the terms of the Issuer's Amended and Restated 2024 Omnibus Incentive Plan.

F2 · derivative.expiration_date: The restricted stock unit ("RSU") will vest in two equal tranches. 50% of the RSU will vest on May 20, 2026 and May 20, 2027, respectively. If the vesting date occurs during a closed Trading Window under the Issuer's Insider Trading Policy, then the RSUs shall vest on the first Trading Day of the next open Trading Window pursuant to the Issuer's Insider Trading Policy, subject in all cases to any applicable outside dates required to comply with applicable tax laws and the terms of the Issuer's Amended and Restated 2024 Omnibus Incentive Plan.

SEC source: 0001421517-24-000111 · wk-form4_1717101753.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,376

F1 · price: This figure is the weighted average purchase price of multiple trades ranging from $13.50 to $13.65 per share. The reporting person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares purchased at each separate price upon request.

SEC source: 0001421517-24-000071 · wk-form4_1710365466.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,427

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

F2 · price: This figure is the weighted average sales price of multiple trades ranging from $14.88 to $15.08 per share. The reporting person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001421517-24-000027 · wk-form4_1707173534.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,406

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

F2 · price: This figure is the weighted average sales price of multiple trades ranging from $15.45 to $15.83 per share. The reporting person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001421517-24-000002 · wk-form4_1704405717.xml · derivative · entry 6

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,300

Underlying: Common Stock · 6,250 shares

Expires 2029-01-31

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 · derivative.exercise_date: This employee stock option was awarded on January 31, 2019 and was fully vested on January 31, 2023.

F2 · derivative.underlying_shares: These transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2023.

SEC source: 0001421517-24-000002 · wk-form4_1704405717.xml · nonDerivative · entry 4

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,152

SEC source: 0001421517-24-000002 · wk-form4_1704405717.xml · nonDerivative · entry 3

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,402

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.

SEC source: 0001421517-24-000002 · wk-form4_1704405717.xml · derivative · entry 5

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,550

Underlying: Common Stock · 6,250 shares

Expires 2029-01-31

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 · derivative.exercise_date: This employee stock option was awarded on January 31, 2019 and was fully vested on January 31, 2023.

F2 · derivative.underlying_shares: These transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2023.

SEC source: 0001421517-24-000002 · wk-form4_1704405717.xml · nonDerivative · entry 2

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,152

SEC source: 0001421517-24-000002 · wk-form4_1704405717.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,402

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.

SEC source: 0001421517-23-000157 · wk-form4_1694722319.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · JT with Spouse

Disclosed balance after: 0

SEC source: 0001421517-23-000137 · wk-form4_1690488222.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,152

F1 · shares: Represents the grant of restricted stock units to the reporting person. Each restrictive stock unit represents a contingent right to receive one (1) share of the issuer's common stock at settlement.

F2 · shares: These employee restricted stock units were granted on the transaction date. One third of the restricted stock units will vest on each of the first three anniversaries of the grant date.

SEC source: 0001421517-23-000052 · wf-form4_167875014881203.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,621

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 weighted average sales price includes multiple trades ranging from $23.74 to $24.14 per share. The reporting person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001421517-23-000031 · wf-form4_167581270585844.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,504

F1 · security: These transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001421517-23-000021 · wf-form4_167545915112103.xml · nonDerivative · entry 3

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,712

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. The weighted average sales price includes multiple trades ranging from $22.38 to $22.77 per share. The Reporting Person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001421517-23-000021 · wf-form4_167545915112103.xml · derivative · entry 5

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,737

Underlying: Common Stock · 15,000 shares

Expires 2029-01-31

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: These transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F5 · security: This employee stock option was granted on January 31, 2019 and the shares exercised was fully vested by the transaction date.

F5 · derivative.exercise_date: This employee stock option was granted on January 31, 2019 and the shares exercised was fully vested by the transaction date.

SEC source: 0001421517-23-000021 · wf-form4_167545915112103.xml · nonDerivative · entry 2

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,850

F1 · security: These transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: This figure is the weighted average sales price of multiple trades ranging from $21.40 to $22.50 per share. The Reporting Person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001421517-23-000021 · wf-form4_167545915112103.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,850

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: These transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001421517-23-000012 · wf-form4_167529430770163.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,850

F1 · security: These employee restricted stock units were granted on the transaction date. 25% of the restricted stock units will vests on the first four anniversaries of the grant date.

F2 · shares: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's common stock.

SEC source: 0001421517-22-000047 · wf-form4_164738428659882.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,677

F1 · security: The restricted stock units were granted on the transaction date. 33.3% of the restricted stock units will vest on each of the first three anniversaries of the grant date.

F2 · shares: Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Company's Common Stock.

SEC source: 0001421517-22-000021 · wf-form4_164393663366835.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,766

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 weighted average sales price includes multiple trades ranging from $19.14 to $19.73 per share. The Reporting Person undertakes to provide the SEC Staff, Energy Recovery, Inc. or a shareholder of Energy Recovery, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001421517-22-000013 · wf-form4_164375394955557.xml · derivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,348

Underlying: Common Stock · 47,348 shares

Expires 2032-01-28

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

SEC source: 0001421517-21-000095 · wf-form4_162758904188541.xml · derivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,356

Underlying: Common Stock · 6,356 shares

Expires 2031-07-26

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

SEC source: 0001437749-21-001933 · rdgdoc.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,670

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

F2 · price: This figure is the weighted average sales price of multiple trades ranging from $13.90 to $14.07 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.

SEC source: 0001437749-21-001933 · rdgdoc.xml · derivative · entry 2

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,248

Underlying: Common Stock · 62,248 shares

Expires 2031-02-01

F3 · derivative.exercise_date: This employee stock option was granted on February 1, 2021. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

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.

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.

SEC source: 0001421517-19-000019 · wf-form4_154941311060746.xml · derivative · entry 2

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,737

Underlying: Common Stock · 35,737 shares

Expires 2029-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2019. 25% of the shares fully vest on the first anniversary of the vesting commencement date; thereafter, the remaining 75% vest 1/36th per month.

SEC source: 0001421517-19-000019 · wf-form4_154941311060746.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,081

F1 · security: Each restricted stock unit represents the right to receive, at settlement, one(1) share of common stock

F2 · security: The restricted stock unit award was granted on January 31, 2019 and vests 25% on each of the first four anniversaries of the grant date.

SEC source: 0001437749-19-005190 · rdgdoc.xml · derivative · entry 2

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,800

Underlying: Common Stock · 35,800 shares

Expires 2029-01-31

F3 · derivative.exercise_date: This employee stock option was granted on January 31, 2019. 25% of the options will vest on the 1st anniversary of the grant date; thereafter, the remaining 75% vest 1/36th per month.

SEC source: 0001437749-19-005190 · rdgdoc.xml · nonDerivative · entry 1

Ballard Joshua · CIK 0001751098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,081

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 award was granted on January 31, 2019 and vests 25% on each of the first four anniversaries of the grant date.