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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 | ||||||||
Option (3) | $ 2.14 | 09/30/2011 | J | 66,667 | 09/30/2008 | 02/27/2013 | Common Stock | 36,240 | $ 0 | 36,240 | D | ||||
Options (4) | $ 0.41 | 07/27/2010 | 02/15/2015 | Common Stock | 100,000 | 136,240 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BAILEY ROBERT V C/O ENSERVCO CORPORATION 830 TENDERFOOD HILL ROAD, SUITE 310 COLORADO SPRINGS, CO 80906 |
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/s/ R. V. Bailey | 03/30/2011 | |
**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) | Includes 3,959 shares held jointly with Mr. Bailey's spouse. On the most recent Form 4/A filed by Mr. Bailey on October 8, 2010 that form incorrectly listed the total number of shares directly held by Mr. Bailey as being 1,241,776. |
(2) | On the most recent Form 4/A filed by Mr. Bailey on October 8, 2010 that form incorrectly listed the total number of shares held by Mr. Bailey' spouse as being 16,320. For the purposes of Section 16(b) of the Securities Exchange Act of 1934 Mr. Bailey disclaims beneficial ownership of the shares of stock held by his spouse. |
(3) | On February 27, 2008 Mr. Bailey was granted an option to purchase 200,000 shares of common stock pursuant to the 2008 Equity Plan. 1/3 of the shares were to vest on each September 30, 2008, 2009 and 2010 if certain performance criteria are met. On September 30, 2008, 36,240 of the options were deemed earned, and 30,427 were deemed unearned; on September 30, 2009, 66,667 of the options were deemed unearned; and on September 30, 2010, 66,667 were deemed unearned. The grant of this option, as well and its vesting terms have been previously reported. |
(4) | Options granted pursuant to the 2008 Equity Plan. This option was deemed vested in full as of July 27, 2010 after the vesting criteria were deemed met by the Board of Directors. The grant of this option was previously reported. |