SEC Info - Reynolds Douglas V - ‘4’ for 12/13/19 re: Energy Services of America Corp.

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

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 ^*

REYNOLDS DOUGLAS V

2. Issuer Name and Ticker or Trading Symbol
Energy Services of America CORP [ESOA]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

__X__ Director

__X__ 10% Owner

__X__ Officer (give title below)

_____ Other (specify below)

President

(Last)

(First)

(Middle)

75 WEST THIRD AVE

3. Date of Earliest Transaction (Month/Day/Year)
12/13/2019

(Street)

HUNTINGTON, WV 25701

4. If Amendment, Date Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1.Title of Security
(Instr. 3)

2. Transaction Date (Month/Day/Year)

2A. Deemed Execution Date, if any (Month/Day/Year)

3. Transaction 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

Amount

(A) or (D)

Price

Preferred Stock ⁽¹⁾

13 ⁽²⁾

Preferred Stock ⁽¹⁾

4 ⁽²⁾

Children

Common Stock

29,907

Children

Common Stock

12/13/2019

1,700

$0.77

1,360,134

Common Stock

12/16/2019

6,000

$0.83

1,366,134

Common Stock

12/18/2019

1,500

$0.81

1,367,634

Common Stock

12/19/2019

3,000

$0.76

1,370,634

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

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.

SEC 1474 (9-02)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
(Instr. 3)

2. Conversion or Exercise Price of Derivative Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction 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
(Month/Day/Year)

7. Title and Amount of Underlying Securities
(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

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Reporting Owners

Reporting Owner Name / Address

Relationships

Director

10% Owner

Officer

Other

REYNOLDS DOUGLAS V
75 WEST THIRD AVE
HUNTINGTON, WV 25701

President

Signatures

/s/ Charles Crimmel

12/27/2019

^**Signature of Reporting Person

Date

Explanation of Responses:

If the form is filed by more than one reporting person, see Instruction 4(b)(v).

Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

(1)

Series A Preferred Stock will be convertible into shares of Common Stock, at the option of the holders, only in the event that the Issuer elects to redeem the Series A Preferred Stock, and only during the period provided by the Issuer's Notice of Redemption.

(2)

Units consist of one share of Convertible Cumulative Perpetual Preferred Stock at a price of $25,000 per unit.

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

Reynolds Douglas V – ‘4’ for 12/13/19 re: Energy Services of America Corp.

On: Friday, 12/27/19, at 1:34pm ET · For: 12/13/19 · Accession #: 1104659-19-76403 · File #: 1-32998

Previous ‘4’: ‘4’ on 9/23/19 for 9/20/19 · Next: ‘4’ on 9/21/20 for 8/18/20 · Latest: ‘4’ on 2/23/24 for 2/15/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Reporting Owners

Signatures

Explanation of Responses:

Reynolds Douglas V – ‘4’ for 12/13/19 re: Energy Services of America Corp.

On: Friday, 12/27/19, at 1:34pm ET · For: 12/13/19 · Accession #: 1104659-19-76403 · File #: 1-32998

Previous ‘4’: ‘4’ on 9/23/19 for 9/20/19 · Next: ‘4’ on 9/21/20 for 8/18/20 · Latest: ‘4’ on 2/23/24 for 2/15/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Reporting Owners

Signatures

Explanation of Responses:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents