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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option | $ 0.49 | 07/30/2010 | 07/30/2015 | Common Stock | 450,000 | 0 | D | ||||||||
Stock Option | $ 0.46 | 06/06/2013 | 06/30/2017 | Common Stock | 300,000 | 300,000 (2) | D | ||||||||
Stock Option | $ 0.7 | 01/01/2014 | 01/23/2018 | Common Stock | 50,000 | 50,000 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Peitz Austin 501 S. CHERRY STREET SUITE 320 DENVER, CO 80246 |
VP-Field Operations |
/s/ Austin Peitz | 02/25/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Payment of exercise price. |
(2) | Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 6/7/2012. Options to acquire 100,000 shares vested on 6/6/2013; 100,000 on 6/6/2014; and the remaining options vest on 6/6/2015. |
(3) | Options granted pursuant to Enservco's 2010 Stock Incentive Plan on 1/23/2013. Options to acquire 16,667 shares vested on 1/1/14; 16,667 on 1/1/15; and the remaining 16,666 vest on 1/1/16. |