SEC Form 4 · accession 0001571049-16-020717
Energy Services of America CORP · ESOA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas V Reynolds
Officer — President · Director
Period of report
Dec 7, 2016
Accepted (ET)
Dec 20, 2016 · 1:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001357971
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 19, 2016 | P | 10,000 | $1.32 | A | 29,907 | I | Children |
| Common Stock | Dec 7, 2016 | P | 2,000 | $1.40 | A | 1,305,156 | D | |
| Common Stock | Dec 15, 2016 | P | 4,000 | $1.33 | A | 1,309,156 | D | |
| Preferred StockF1,F2 | holding | — | — | — | 13 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Series A Preferred Stock will be convertible into shares of Common Stock, at the option of the holders, only in the event that the Issuer elects to redeem the Series A Preferred Stock, and only during the period provided by the Issuer's Notice of Redemption.
- F2Units consisting of one share of 6.0% Convertible Cumulative Perpetual Preferred Stock at a price of $25,000 per unit.