Nussbaum Scott P 4

4 · GlyEco, Inc. · Filed Jul 19, 2017

Form 4

Period: 2016-12-02

Director

Transactions

Exercise of In-Money
Common Stock
2017-07-17$0.08/sh+156,250$12,500→ 2,966,478 total
Award
Restricted Stock Grant
2016-12-02+1,100,000→ 1,100,000 total
→ Common Stock (1,100,000 underlying)
Award
Common Stock
2017-07-19$0.10/sh+117,346$11,500→ 2,810,228 total
Exercise of In-Money
Common Stock
2017-07-17$0.08/sh+156,250$12,500→ 1,096,250 total(indirect: By Trust)

Footnotes (7)

[F1]Shares granted under the Company's Director Compensation Plan for the fiscal quarter ended June 30, 2017.
[F2]Shares priced as of the close on April 3, 2017.
[F3]Shares acquired through the exercise of warrants on July 17, 2017, which warrants were acquired in a private placement on December 27, 2016.
[F4]Shares held by the Mara Nussbaum 2011 Grantor Trust, of which the reporting person's sister is a beneficiary, and of which the reporting person is the trustee.
[F5]The Restricted Stock Grant represents a contingent right to receive 1,100,000 shares of Issuer common stock.
[F6]The Restricted Stock Grant was granted in connection with the reporting person joining the Issuer as a director on December 2, 2016, and vests upon the Issuer's common stock achieving a 30-day volume-weighted average price of $0.20.
[F7]The report reflects an updated amount of derivative securities held by the reporting person.

Documents

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