SEC Form 4 · accession 0001214782-15-000056
Vertex Energy Inc. · VTNR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chris Carlson
Officer — CFO & Secretary
Period of report
Jun 24, 2015
Accepted (ET)
Jul 2, 2015 · 9:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000890447
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $3.15 | Jun 24, 2015 | A | 18,750 | A | Jun 24, 2016 | Jun 24, 2025 | Common Stock | 18,750 | 358,750 | D |
| Stock OptionF1 | $3.15 | Jun 24, 2015 | A | 18,750 | A | Jun 24, 2017 | Jun 24, 2025 | Common Stock | 18,750 | 377,500 | D |
| Stock OptionF1 | $3.15 | Jun 24, 2015 | A | 18,750 | A | Jun 24, 2018 | Jun 24, 2025 | Common Stock | 18,750 | 396,250 | D |
| Stock OptionF1 | $3.15 | Jun 24, 2015 | A | 18,750 | A | Jun 24, 2019 | Jun 24, 2025 | Common Stock | 18,750 | 415,000 | D |
Explanation of responses
- F1On June 24, 2015, the Issuer's Board of Directors approved the grant of 75,000 Stock Options to Chris Carlson in consideration for services rendered and to be rendered to the Issuer, which options were granted pursuant to the 2013 Stock Incentive Plan of the Issuer, which issuance was exempt from Section 16(b) pursuant to Rule 16b-3(d).