Phillips David L's Form 4 filing
Vertex Energy Inc. (VTNR) · filed Jul 26, 2021
- Accession no.
- 0001580695-21-000213
- Filed
- Jul 26, 2021
- Trade date
- Jul 7-15, 2021
- Filing delay
- 19 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $649.5K. It was filed 19 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 |
|---|---|
| Phillips David LCIK 0001458878 | 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 7, 2021 | Common Stock | MOption exerciseAcquired | +60,000 | $2.08 | +$124,800 | 145,000 | Direct | |
| Jul 7, 2021 | Common Stock | MOption exerciseAcquired | +60,000 | $1.26 | +$75,600 | 205,000 | Direct | |
| Jul 15, 2021 | Common Stock | SSaleDisposed | −72,172 | $9.00F1 | −$649,548 | 132,828 | 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 7, 2021 | Common Stock | MOption exerciseDisposed | −60,000 | $0.00 | $0 | 0 | Direct | |
| Jul 7, 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 ranging between $9.04 and $9.00. 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.