SEC Form 4 · accession 0001000096-15-000048
Enservco Corp · ENSV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rick D Kasch
Officer — President and CEO · Director
Period of report
Jun 29, 2015
Accepted (ET)
Jun 30, 2015 · 4:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000319458
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 29, 2015 | M | 300,000 | $0.49 | A | 1,849,324 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $0.49 | Jun 29, 2015 | M | 300,000 | D | Jul 27, 2012 | Jul 27, 2015 | Common Stock | 300,000 | 0 | D |
| Stock OptionF1 | $1.74 | holding | — | — | — | Jan 1, 2016 | Apr 8, 2020 | Common Stock | 210,000 | 210,000 | D |
| Stock Option | $1.10 | holding | — | — | — | Jul 19, 2012 | Jul 19, 2016 | Common Stock | 600,000 | 600,000 | D |
| Stock Option | $0.46 | holding | — | — | — | Jun 6, 2013 | Jun 6, 2017 | Common Stock | 300,000 | 300,000 | D |
| Stock Option | $0.46 | holding | — | — | — | Jun 6, 2014 | Jun 6, 2017 | Common Stock | 125,000 | 125,000 | D |
| Warrants | $0.55 | holding | — | — | — | Nov 2, 2012 | Nov 30, 2017 | Common Stock | 37,000 | 37,000 | D |
Explanation of responses
- F1Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 4/8/2015. Options to acquire 70,000 shares vest on 01/01/2016; 70,000 on 01/01/2017; and the remaining options vest on 01/01/2018.