SEC Form 4/A · accession 0001421517-18-000124

Energy Recovery, Inc. · ERII

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Director

Period of report

Jun 14, 2018

Accepted (ET)

Jun 18, 2018 · 9:14 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001421517

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock	Jun 14, 2018	M	39,424	$2.49	A	39,424	D
Common Stock^F1	Jun 14, 2018	S	39,424	$8.2376	D	0	D
Common Stock	Jun 15, 2018	M	6,284	$2.49	A	6,284	D
Common Stock^F1	Jun 15, 2018	S	6,284	$8.0279	D	0	D
Common Stock	Jun 15, 2018	M	33,140	$2.61	A	33,140	D
Common Stock^F1	Jun 15, 2018	S	33,140	$8.0279	D	0	D
Common Stock	Jun 18, 2018	M	5,902	$2.61	A	5,902	D
Common Stock^F1	Jun 18, 2018	S	5,902	$8.0866	D	0	D
Common Stock	Jun 18, 2018	M	33,522	$2.92	A	33,522	D
Common Stock^F1	Jun 18, 2018	S	33,522	$8.0866	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F2	$8.49	Jun 14, 2018	A	15,879	A	—	Jun 14, 2028	Common Stock	15,879	497,766	D
Stock Option (Right to Buy)^F3	$2.49	Jun 14, 2018	M	39,424	D	—	Aug 14, 2022	Common Stock	39,424	458,342	D
Stock Option (Right to Buy)^F3	$2.49	Jun 15, 2018	M	6,284	D	—	Aug 14, 2022	Common Stock	6,284	452,058	D
Stock Option (Right to Buy)^F4	$2.61	Jun 15, 2018	M	33,140	D	—	Sep 16, 2021	Common Stock	33,140	418,918	D
Stock Option (Right to Buy)^F4	$2.61	Jun 18, 2018	M	5,902	D	—	Sep 16, 2021	Common Stock	5,902	413,016	D
Stock Option (Right to Buy)^F5	$2.92	Jun 18, 2018	M	33,522	D	—	Jun 23, 2025	Common Stock	33,522	379,494	D

F1The figure is the weighted average sales price of multiple trades ranging from $8.000 to $8.710 per share. The reporting person undertakes to provide to the SEC, ERI or a shareholder of ERI, full information about the number of shares sold at each separate price upon request.
F2The Shares will fully vest and become exercisable on the 2019 Annual Meeting date, anticipated to be on or about June 13, 2019.
F3This employee stock option was granted on August 14, 2012. All of the shares are fully vested and exercisable
F4This employee stock option was granted on September 16, 2011. All of the shares are fully vested and exercisable
F5This employee stock option was granted on June 23, 2015. All of the shares are fully vested and exercisable