0001437749-19-002899.txt : 20190219 0001437749-19-002899.hdr.sgml : 20190219 20190219191119 ACCESSION NUMBER: 0001437749-19-002899 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190215 FILED AS OF DATE: 20190219 DATE AS OF CHANGE: 20190219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Emily CENTRAL INDEX KEY: 0001668423 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34112 FILM NUMBER: 19616691 MAIL ADDRESS: STREET 1: 1717 DOOLITTLE DRIVE CITY: SAN LEANDRO STATE: CA ZIP: 94577 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Energy Recovery, Inc. CENTRAL INDEX KEY: 0001421517 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 010616867 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1717 DOOLITTLE DRIVE CITY: SAN LEANDRO STATE: CA ZIP: 94577 BUSINESS PHONE: (510) 483-7370 MAIL ADDRESS: STREET 1: 1717 DOOLITTLE DRIVE CITY: SAN LEANDRO STATE: CA ZIP: 94577 4 1 rdgdoc.xml FORM 4 X0306 4 2019-02-15 0001421517 Energy Recovery, Inc. ERII 0001668423 Smith Emily C/O ENERGY RECOVERY 1717 DOOLITTLE DRIVE SAN LEANDRO CA 94577 1 VP, Corporate Development Common Stock 2019-02-15 4 M 0 10000 2.14 A 66776 D Common Stock 2019-02-15 4 S 0 10000 8.0035 D 56776 D Common Stock 2019-02-19 4 F 0 135 7.83 D 56641 D Employee Stock Option (Right to Buy) 2.14 2019-02-15 4 M 0 10000 0 D 2025-09-30 Common Stock 10000 40000 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2018. This figure is the weighted average sales price of multiple trades ranging from $7.9300 to $8.0500 per share. The Reporting Person undertakes to provide the SEC Staff, ERI or a shareholder of ERI full information about the number of shares sold at each separate price upon request. Payment of tax obligation by withholding securities incident to the vesting of the securities in accordance with Rule 16b-3. This employee stock option was granted on September 30, 2015. 25% of the shares full vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75% vest 1/36th per month. /s/ William Yeung, Attorney-in-Fact for Emily Smith 2019-02-19