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PESI PermaFix Environmental Services Inc

12.05
-0.02 (-0.17%)
27 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
PermaFix Environmental Services Inc NASDAQ:PESI NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.02 -0.17% 12.05 7.80 19.24 12.14 11.8401 12.10 47,518 01:00:00

Statement of Changes in Beneficial Ownership (4)

24/03/2020 11:09pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Duff Mark
2. Issuer Name and Ticker or Trading Symbol

PERMA FIX ENVIRONMENTAL SERVICES INC [ PESI ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
President and CEO
(Last)          (First)          (Middle)

8302 DUNWOODY PLACE, SUITE 250
3. Date of Earliest Transaction (MM/DD/YYYY)

3/23/2020
(Street)

ATLANTA,, GA 30350
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 3/23/2020  P  1000 A$4.1500 14551 D  
Common Stock 3/23/2020  P  500 A$4.0500 15051 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option $3.1500            (1)1/17/2025 Common Stock 25000  25000 D  
Stock Option $3.6500            (2)7/27/2023 Common Stock 100000  100000 D  
Stock Option $3.9700            (3)5/15/2022 Common Stock 50000  50000 D  

Explanation of Responses:
(1) Incentive Stock Option granted 01/17/2019 under the Company's 2017 Stock Option Plan. The Option is for a 6 year period and vests over a 5 year period, at 1/5 increment per year.
(2) Incentive stock option granted 7/27/2017 under the Company's 2017 Stock Option Plan. The option is for a 6 year period and vests over a 5 year period, at 1/5 increment per year.
(3) Incentive stock option granted 5/15/2016 under the Company's 2010 Stock Option Plan. The option is for a 6 year period and vests over a 3 year period, at 1/3 increment per year.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Duff Mark
8302 DUNWOODY PLACE, SUITE 250
ATLANTA,, GA 30350


President and CEO

Signatures
/s/ Mark Duff3/24/2020
**Signature of Reporting PersonDate

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