Statement of Changes in Beneficial Ownership (4)

Date : 01/03/2020 @ 2:01PM
Source : Edgar (US Regulatory)
Stock : PermaFix Environmental Services Inc (PESI)
Quote : 5.15  0.29 (5.97%) @ 9:30PM
After Hours
Last Trade
Last $ 5.15 ◊ 0.00 (0.00%)

Statement of Changes in Beneficial Ownership (4)

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
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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
                      

1. Name and Address of Reporting Person *

ZWECKER MARK A
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)

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

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

1/2/2020
(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 1/2/2020  A  1381 A$6.8250 181524 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 $8.4000            (1)9/29/2020 Common Stock 2400  2400 D  
Stock Option $7.0500            (2)8/24/2021 Common Stock 2400  2400 D  
Stock Option $5.5000            (3)9/13/2022 Common Stock 2400  2400 D  
Stock Option $2.7850            (4)9/12/2023 Common Stock 2400  2400 D  
Stock Option $3.7000            (5)9/18/2024 Common Stock 2400  2400 D  
Stock Option $4.1900            (6)9/17/2025 Common Stock 2400  2400 D  
Stock Option $4.6000            (7)7/28/2026 Common Stock 2400  2400 D  
Stock Option $3.5500            (8)7/27/2027 Common Stock 2400  2400 D  
Stock Option $4.3000            (9)7/26/2028 Common Stock 2400  2400 D  
Stock Option $3.3100            (10)7/25/2029 Common Stock 2400  2400 D  

Explanation of Responses:
(1) Non-Qualified Stock Option granted 09/29/10 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(2) Non-Qualified Stock Option granted 08/24/11 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(3) Non-Qualified Stock Option granted 09/13/12 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(4) Non-Qualified Stock Option granted 09/12/13 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(5) Non-Qualified Stock Option granted 09/18/14 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(6) Non-Qualified Stock Option granted 09/17/15 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(7) Non-Qualified Stock Option granted 07/28/16 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(8) Non-Qualified Stock Option granted 07/27/17 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(9) Non-Qualified Stock Option granted 07/26/18 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.
(10) Non-Qualified Stock Option granted 07/25/19 under the Company's 2003 Outside Directors Stock Plan. The Options vest fully six months from date of grant.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
ZWECKER MARK A
8302 DUNWOODY PLACE, SUITE 250
ATLANTA, GA 30350
X



Signatures
/s/ Mark A. Zwecker1/3/2020
**Signature of Reporting PersonDate

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