SEC Form 4 · accession 0001144204-15-032913
EMPIRE RESOURCES INC /NEW/ · ERS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harvey Wrubel
Director
Period of report
May 20, 2015
Accepted (ET)
May 21, 2015 · 4:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001019272
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF1 | $1.625 | May 20, 2015 | J | 150,000 | D | Sep 17, 2009 | Sep 17, 2019 | Common Stock | 150,000 | 50,000 | D |
Explanation of responses
- F1The option was sold to the issuer by mutual agreement of the reporting person and the issuer. The reporting person received the difference between the closing price on the Transaction Date on The NASDAQ Capital Market, which was $4.3599, and the exercise price, per share of common stock underlying the option.