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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 (1) | $ 0.49 | 07/30/2010 | 07/30/2015 | Common Stock | 300,000 | 300,000 | D | ||||||||
Stock Option (2) | $ 1.1 | 07/19/2011 | A | 600,000 | 07/19/2011 | 07/19/2016 | Common Stock | 600,000 | $ 0 | 500,000 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kasch Rick D 830 TENDERFOOT HILL ROAD P.O. BOX 60460 COLORADO SPRINGS, CO 80960 |
President & CFO |
/ Rick Kasch | 07/21/2011 | |
**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) | Options granted pursuant to Enservco's 2010 Stock Incentive Plan on July 27, 2010. This option vests on a pro-rata basis over a three year term, with the first one third having vested on July 30, 2010. This transaction was exempt from Section 16(b) pursuant to Rule 16b-3(d). |
(2) | Options granted pursuant to Enservco's 2010 Stock Incentive Plan on July 19, 2011. One half of the option vested on the date of grant and the remaining half is scheduled to vest on July 19, 2012. This transaction was except from Section 16(b) pursuant to Rule 16b-3(d). |
(3) | As of July 21, 2011 Mr. Kasch beneficially owns options to acquire a total of 500,000 shares of Enservco common stock. This includes: (i) 200,000 shares underlying the option granted to Mr. Kasch on July 27, 2010; and (ii) 300,000 shares underlying the option granted on July 19, 2011. The remaining shares underlying the options held by Mr. Kasch are not vested and are not scheduled to vest for at least sixty days from the date of this Form 4, and thus are not yet included in Mr. Kasch's beneficial ownership. |