strickland john noel's Form 4 filing
Vertex Energy Inc. (VTNR) · filed Jul 20, 2021
- Accession no.
- 0001580695-21-000206
- Filed
- Jul 20, 2021
- Trade date
- Jun 29-Jul 13, 2021
- Filing delay
- 21 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market sales total $848.8K. It was filed 21 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 |
|---|---|
| strickland john noelCIK 0001655294 | Officer (COO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 29, 2021 | Common Stock | MOption exerciseAcquired | +46,860 | $0.78 | +$36,550.8 | 109,360 | Direct | |
| Jun 29, 2021 | Common Stock | MOption exerciseAcquired | +37,500 | $0.97 | +$36,375 | 146,860 | Direct | |
| Jun 29, 2021 | Common Stock | MOption exerciseAcquired | +87,750 | $1.14 | +$100,035 | 234,610 | Direct | |
| Jul 8, 2021 | Common Stock | SSaleDisposed | −60,000 | $10.10F1 | −$606,000 | 174,610 | Direct | |
| Jul 13, 2021 | Common Stock | SSaleDisposed | −25,000 | $9.71F2 | −$242,750 | 149,610 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 29, 2021 | Common Stock | MOption exerciseDisposed | −46,860 | $0.00 | $0 | 140,579 | Direct | |
| Jun 29, 2021 | Common Stock | MOption exerciseDisposed | −37,500 | $0.00 | $0 | 12,500 | Direct | |
| Jun 29, 2021 | Common Stock | MOption exerciseDisposed | −87,750 | $0.00 | $0 | 29,250 | 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 $10.10 to $10.12. 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.
- F2
This transaction was executed in multiple trades at prices ranging from $9.70 to $9.72. 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.