Harvey Timothy C's Form 4 filing
Vertex Energy Inc. (VTNR) · filed Jul 12, 2021
- Accession no.
- 0001580695-21-000196
- Filed
- Jul 12, 2021
- Trade date
- Jul 1-6, 2021
- Filing delay
- 11 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 5 derivative transactions. Open-market sales total $108.4K. It was filed 11 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Harvey Timothy CCIK 0001566480 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 6, 2021 | Common Stock | SSaleDisposed | −10,000 | $10.84F1 | −$108,400 | 0 | Indirect | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +30,000 | $1.45 | +$43,500 | 30,000 | Direct | |
| Jul 1, 2021 | Common Stock | FTax withholdingDisposed | −4,248 | $10.24 | −$43,499.52 | 25,752 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +60,000 | $1.26 | +$75,600 | 85,752 | Direct | |
| Jul 1, 2021 | Common Stock | FTax withholdingDisposed | −7,383 | $10.24 | −$75,601.92 | 78,369 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +60,000 | $2.08 | +$124,800 | 138,369 | Direct | |
| Jul 1, 2021 | Common Stock | FTax withholdingDisposed | −12,187 | $10.24 | −$124,794.88 | 126,182 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +75,000 | $6.62 | +$496,500 | 201,182 | Direct | |
| Jul 1, 2021 | Common Stock | FTax withholdingDisposed | −48,450 | $10.24 | −$496,128 | 152,732 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseAcquired | +60,000 | $2.96 | +$177,600 | 212,732 | Direct | |
| Jul 1, 2021 | Common Stock | FTax withholdingDisposed | −17,344 | $10.24 | −$177,602.56 | 195,388 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 30,000 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −60,000 | $0.00 | $0 | 0 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −60,000 | $0.00 | $0 | 0 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −75,000 | $0.00 | $0 | 0 | Direct | |
| Jul 1, 2021 | Common Stock | MOption exerciseDisposed | −60,000 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was executed in multiple trades at prices ranging from $10.96 to $10.81. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was affected.
Referenced by the price of 1 transaction in Table I.