Statement of Changes in Beneficial Ownership (4)
March 24 2020 - 3:20PM
Edgar (US Regulatory)
FORM 4
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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
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OMB APPROVAL
OMB Number:
3235-0287
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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
*
Lombardo Andy |
2. Issuer Name and Ticker or Trading Symbol
PERMA FIX ENVIRONMENTAL SERVICES INC
[
PESI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) EVP of Nuclear & Technical Svs |
(Last)
(First)
(Middle)
8302 DUNWOODY PLACE, SUITE 250 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/24/2020 |
(Street)
ATLANTA,, GA 30350
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/24/2020 | | P | | 100 | A | $4.8868 | 3500 | D | |
Common Stock | 3/24/2020 | | P | | 111 | A | $4.8968 | 3611 | D | |
Common Stock | 3/24/2020 | | P | | 221 | A | $4.8269 | 3832 | D | |
Common Stock | 3/24/2020 | | P | | 1 | A | $4.8069 | 3833 | D | |
Common Stock | 3/24/2020 | | P | | 2000 | A | $4.7769 | 5833 | D | |
Common Stock | 3/24/2020 | | P | | 67 | A | $4.7469 | 5900 | 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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | $3.1500 | | | | | | | (1) | 1/17/2025 | Common Stock | 8000 | | 8000 | D | |
Stock Option | $3.6000 | | | | | | | (2) | 10/19/2023 | Common Stock | 12000 | | 12000 | D | |
Explanation of Responses: |
(1) | Incentive Stock Option granted 01/17/2019 under the Company's 2017 Stock Option Plan. Original option granted is for a six year period and vests over a five year period at 1/5 increment per year. Option to purchase 2,000 shares will vest on anniversary date of 1/17 in each of years 2021 to 2024. |
(2) | Incentive stock option granted 10/19/2017 under the Company's 2017 Stock Option Plan. Original option granted is for a six year period and vests over a five year period at 1/5 increment per year. Option to purchase 4,000 shares will vest on anniversary date of 10/19 in each of years 2020 to 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lombardo Andy 8302 DUNWOODY PLACE, SUITE 250 ATLANTA,, GA 30350 |
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| EVP of Nuclear & Technical Svs |
Signatures
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/s/ Andy Lombardo | | 3/24/2020 |
**Signature of Reporting Person | Date |
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