SEC Form 4 · accession 0001437749-16-031217
Enservco Corp · ENSV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Austin Peitz
Officer — SVP - Field Operations
Period of report
May 5, 2016
Accepted (ET)
May 9, 2016 · 12:16 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 | holding | — | — | — | 98,853 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $0.60 | May 5, 2016 | A | 200,000 | A | Dec 31, 2016 | May 5, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock OptionF2 | $1.74 | holding | — | — | — | Jan 1, 2016 | Apr 8, 2020 | Common Stock | 160,000 | 160,000 | D |
| Stock OptionF3 | $0.70 | holding | — | — | — | Jan 1, 2014 | Jan 23, 2018 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF4 | $0.46 | holding | — | — | — | Jun 6, 2013 | Jun 30, 2017 | Common Stock | 300,000 | 300,000 | D |
Explanation of responses
- F1Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 5/5/16. Options to acquire 66,667 shares vest on 12/31/16; 66,667 on 12/31/17; and the remaining options vest on 12/31/18.
- F2Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 4/8/15. Options to acquire 53,334 shares vested on 1/1/16; 53,334 vest on 1/1/17; and the remaining options vest on 1/1/18.
- F3Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 1/23/13. Options to acquire 16,667 shares vested on 1/1/14; 16,667 on 1/1/15; and the remaining options vested on 1/1/16.
- F4Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 6/7/12. Options to acquire 100,000 shares vested on 6/6/13; 100,000 on 6/6/14; and the remaining options vested on 6/6/15.