strickland john noel 4

4 · Vertex Energy Inc. · Filed Jul 20, 2021

Form 4

Period: 2021-06-29

COO

Transactions

Exercise/Conversion
Stock Option
2021-06-29−37,500→ 12,500 total
Exercise: $0.97Exp: 2027-08-20→ Common Stock (37,500 underlying)
Exercise/Conversion
Stock Option
2021-06-29−87,750→ 29,250 total
Exercise: $1.14Exp: 2028-04-12→ Common Stock (87,750 underlying)
Exercise/Conversion
Common Stock
2021-06-29$0.97/sh+37,500$36,375→ 146,860 total
Exercise/Conversion
Common Stock
2021-06-29$0.78/sh+46,860$36,551→ 109,360 total
Sale
Common Stock
2021-07-13$9.71/sh−25,000$242,750→ 149,610 total
Exercise/Conversion
Common Stock
2021-06-29$1.14/sh+87,750$100,035→ 234,610 total
Sale
Common Stock
2021-07-08$10.10/sh−60,000$606,000→ 174,610 total
Exercise/Conversion
Stock Option
2021-06-29−46,860→ 140,579 total
Exercise: $0.78Exp: 2030-06-19→ Common Stock (46,860 underlying)

Footnotes (5)

[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.
[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.
[F3]Options to purchase 46,860 shares vested on June 19, 2021.
[F4]Options to purchase 12,500 shares vested on August 20, 2018, 2019 and 2020.
[F5]Options to purchase 29,250 shares vested on April 12, 2019, 2020 and 2021.

Documents

1 file