SEC Form 4 · accession 0001144204-15-050956
EMPIRE RESOURCES INC /NEW/ · ERS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Morris J Smith
Director
Period of report
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 11:59 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001019272
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 18, 2015 | S | 17,600 | $2.94 | D | 11,460 | D | |
| Common StockF2 | Aug 19, 2015 | S | 5,560 | $2.84 | D | 5,900 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades on August 18, 2015 at prices ranging from $2.85 to $2.99. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of securities purchased at each separate price.
- F2This transaction was executed in multiple trades on August 19, 2015 at prices ranging from $2.84 to $2.85. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of securities purchased at each separate price.