SEC Form 4 · accession 0001437749-17-011750
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
Jun 21, 2017
Accepted (ET)
Jun 23, 2017 · 11:17 am 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 21, 2017 | P | 60 | $0.389 | A | 98,913 | 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 | $0.46 | holding | — | — | — | — | Jun 30, 2017 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF2 | $1.74 | holding | — | — | — | — | Apr 8, 2020 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF3 | $0.60 | holding | — | — | — | — | May 5, 2021 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF4 | $0.65 | holding | — | — | — | — | Dec 30, 2017 | Common Stock | 200,000 | 200,000 | D |
| Stock OptionF5 | $1.74 | holding | — | — | — | — | Apr 8, 2020 | Common Stock | 60,000 | 60,000 | D |
| Stock OptionF6 | $0.65 | holding | — | — | — | — | May 5, 2021 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF7 | $0.70 | holding | — | — | — | — | Jan 23, 2018 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF8 | $0.29 | holding | — | — | — | — | Jun 2, 2022 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1Options to acquire 100,000 shares are fully vested as of the date hereof.
- F2Options to acquire 100,000 shares are fully vested as of the date hereof.
- F3Options to acquire 66,667 shares vested on 12/31/16, and the remaining options to acquire 33,333 shares will vest on 12/31/17 if the conditions to vesting exist on such date.
- F4Options to acquire 200,000 shares are fully vested as of the date hereof.
- F5Options to acquire 6,666 shares vested on 1/1/17, and the remaining options to acquire 53,334 shares will vest on 1/1/18 if the conditions to vesting exist on such date.
- F6Options to acquire 33,334 shares will vest on 12/31/17, and the remaining options to acquire 66,666 shares will vest on 12/31/18, in both cases if the conditions to vesting exist on such date.
- F7Options to acquire 50,000 shares are fully vested as of the date hereof.
- F8Options to acquire 166,667 shares vested on 6/2/17; options to acquire 166,667 shares will vest on 6/2/18, and the remaining options to acquire 166,666 shares will vest on 6/2/19, in each case if the conditions to vesting exist on such dates.