SEC Form 4 · accession 0001437749-16-031218
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
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 | — | — | — | 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 OptionF1 | $0.60 | May 5, 2016 | A | 350,000 | A | Dec 31, 2016 | May 5, 2021 | Common Stock | 350,000 | 350,000 | D |
| Stock OptionF2 | $0.60 | May 5, 2016 | A | 500,000 | A | Dec 31, 2016 | May 5, 2021 | Common Stock | 500,000 | 500,000 | D |
| Stock OptionF3 | $1.74 | holding | — | — | — | Jan 1, 2016 | Apr 8, 2020 | Common Stock | 210,000 | 210,000 | D |
| Stock OptionF4 | $0.46 | holding | — | — | — | Jun 6, 2013 | Jun 6, 2017 | Common Stock | 425,000 | 425,000 | D |
| Stock OptionF5 | $1.10 | holding | — | — | — | Jul 19, 2012 | Jul 19, 2016 | Common Stock | 600,000 | 600,000 | 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 5/5/16. Options to acquire 116,667 shares vest on 12/31/16; 116,667 on 12/31/17; and the remaining options vest on 12/31/18.
- F2Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 5/5/16. Options to acquire 250,000 shares vest on 12/31/16 and the remaining options vest on 12/31/17.
- F3Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 4/8/15. Options to acquire 70,000 shares vested on 1/1/16; 70,000 vest on 1/1/17; and the remaining options vest on 1/1/18.
- F4Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 6/5/12. Options to acquire 150,000 shares vested on 6/5/12; 150,000 on 6/5/13; and the remaining options vested on 6/5/14.
- F5Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 7/19/11. Options to acquire 300,000 shares vested on 7/19/11 and the remaining options vested on 7/19/12.