Form Type: 4

SEC EDGAR Link
Accession Number:0001437749-20-001827
Date:2020-02-03
Issuer: ENERGY RECOVERY, INC. (ERII)
Original Submission Date:

Reporting Person:

SMITH EMILY
C/O ENERGY RECOVERY
1717 DOOLITTLE DRIVE SAN LEANDRO, CA 94577

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-02-03 F 1,848 d $10.26 63,495 direct
COMMON STOCK 2020-02-04 F 1,387 d $10.41 62,108 direct
COMMON STOCK 2020-02-04 S 2,675 d $10.41 59,433 direct
COMMON STOCK 2020-02-05 F 709 d $9.48 58,724 direct
COMMON STOCK 2020-02-05 S 4,684 d $10.55 54,040 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 payment of tax obligation by selling securities incident to the vesting of securities in accordance with rule 16b-3(e).
f2 represents the weighted average stock price of the shares sold to cover tax obligation for restricted stock unit award vesting. 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.
f3 this transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on december 13, 2019.
f4 payment of tax obligation by withholding securities incident to the vesting of securities in accordance with rule 16b-3(e).
f5 represents the weighted average stock price of the shares withheld to cover the tax obligation for each restricted unit award vesting. 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.
f6 this figure is the weighted average sales price of multiple transactions. 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.
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