Initial Statement of Beneficial Ownership (3)
July 27 2020 - 12:55PM
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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0.5
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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
*
Grondin Richard |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/22/2020
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3. Issuer Name and Ticker or Trading Symbol
PERMA FIX ENVIRONMENTAL SERVICES INC [PESI]
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(Last)
(First)
(Middle)
8302 DUNWOODY PLACE, SUITE 250 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP of Waste Treatment Ops / |
(Street)
ATLANTA, GA 30350
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 36 | D | |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | (1) | 10/19/2023 | Common Stock | 20000 | $3.60 | D | |
Stock Option | (2) | 1/17/2025 | Common Stock | 10000 | $3.15 | D | |
Explanation of Responses: |
(1) | Incentive Stock Option granted 10/19/2017 under the Company's 2017 Stock Option Plan. The Option is for a six-year period and vests over a five-year period at 1/5 increment per year. |
(2) | Incentive Stock Option granted 01/17/2019 under the Company's 2017 Stock Option Plan. The Option is for a six-year period and vests over a five-year period at 1/5 increment per year. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Grondin Richard 8302 DUNWOODY PLACE, SUITE 250 ATLANTA, GA 30350 |
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| EVP of Waste Treatment Ops |
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Signatures
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/s/ Richard Grondin | | 7/27/2020 |
**Signature of Reporting Person | Date |
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