Amended Statement of Beneficial Ownership (3/a)
01 December 2017 - 9:21AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Ghasripoor Farshad
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/16/2017
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3. Issuer Name
and
Ticker or Trading Symbol
Energy Recovery, Inc. [ERII]
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(Last)
(First)
(Middle)
C/O ENERGY RECOVERY, INC., 1717 DOOLITTLE DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Technology Officer /
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(Street)
SAN LEANDRO, CA 94577
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
11/16/2017
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
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9231
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D
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Common Stock
(2)
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11040
(3)
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D
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Common Stock
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4095
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D
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Common Stock
(4)
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5230
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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(5)
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3/14/2023
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Common Stock
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5388.0
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$3.92
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D
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Employee Stock Option (Right to Buy)
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(6)
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3/12/2024
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Common Stock
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31667.0
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$6.0
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D
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Employee Stock Option (Right to Buy)
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(7)
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3/10/2025
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Common Stock
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39720.0
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$2.75
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D
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Employee Stock Option (Right to Buy)
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(8)
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3/8/2026
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Common Stock
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26247.0
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$8.52
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D
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Employee Stock Option (Right to Buy)
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(9)
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2/2/2027
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Common Stock
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17891.0
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$10.19
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D
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Explanation of Responses:
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(1)
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This restricted stock unit award was granted March 8, 2016. 25% of the shares fully vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75%, vest 1/36th per month.
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(2)
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This restricted stock unit award was granted February 2, 2017 and vests 25% on each of the first four anniversaries of the grant date.
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(3)
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Corrected number of shares. Shares incorrectly reported on original Form 3.
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(4)
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Securities held in a joint account with spouse.
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(5)
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This employee stock option was granted on March 14, 2013. 25% of the shares fully vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75%, vest 1/36th per month.
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(6)
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This employee stock option was granted on March 12, 2014. 25% of the shares fully vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75%, vest 1/36th per month.
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(7)
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This employee stock option was granted on March 10, 2015. 25% of the shares fully vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75%, vest 1/36th per month.
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(8)
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This employee stock option was granted on March 8, 2016. 25% of the shares fully vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75%, vest 1/36th per month.
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(9)
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This employee stock option was granted on February 2, 2017. 25% of the shares fully vest on the 1st anniversary of the vesting start date; thereafter, the remaining 75%, vest 1/36th per month.
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Remarks:
Exhibit 24; Power of Attorney
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Ghasripoor Farshad
C/O ENERGY RECOVERY, INC.
1717 DOOLITTLE DRIVE
SAN LEANDRO, CA 94577
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Chief Technology Officer
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Signatures
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/s/ Derek Ching, Attorney-in-Fact for Farshad Ghasripoor
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11/30/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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