SEC Form 4 · accession 0001448779-19-000003
PERMA FIX ENVIRONMENTAL SERVICES INC · PESI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Duff
Officer — President and CEO
Period of report
Jan 17, 2019
Accepted (ET)
Jan 22, 2019 · 2:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000891532
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 10,051 | 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 | $3.15 | Jan 17, 2019 | A | 25,000 | A | — | Jan 17, 2025 | Common Stock | 25,000 | 25,000 | D |
| Stock OptionF2 | $3.97 | holding | — | — | — | — | May 15, 2022 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF3 | $3.65 | holding | — | — | — | — | Jul 27, 2023 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Incentive Stock Option granted 01/17/2019 under the Company's 2017 Stock Option Plan. The Option is for a 6 year period and vests over a 5 year period, at 1/5 increment per year and is exercisable at $3.15 per share.
- F2Incentive Stock Option granted 05/15/2016 under the Company's 2010 Stock Option Plan. The Option is for a 6 year period and vests over a 3 year period, at 1/3 increment per year.
- F3Incentive Stock Option granted 07/27/2017 under the Company's 2017 Stock Option Plan. The Option is for a 6 year period and vests over a 5 year period, at 1/5 increment per year.