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Phillips Todd L. – ‘4’ for 12/16/19 re: Recycling Asset Holdings, Inc.

On:  Wednesday, 12/18/19, at 4:56pm ET   ·   For:  12/16/19   ·   Accession #:  4187-19-3   ·   File #:  0-20979

Previous ‘4’:  ‘4’ on 3/20/19 for 3/15/19   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/18/19  Phillips Todd L.                  4                      1:12K  Industrial Svcs of America Inc.   Industrial Svcs of … Inc

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

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- primary_doc.xml/3.6                  




        

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

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Phillips Todd L.

(Last)(First)(Middle)
7100 GRADE LANE
BUILDING 1

(Street)
LOUISVILLEKY40213

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
INDUSTRIAL SERVICES OF AMERICA INC [ IDSA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector 10% Owner
XOfficer (give title below) Other (specify below)
CEO, President, CFO
3. Date of Earliest Transaction (Month/Day/Year)
12/16/19
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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. 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)
CodeVAmount(A) or (D)Price
Common Stock 12/16/19 M 119,386A (1)205,115D
Common Stock 12/16/19 F 41,532D$1.11163,583D
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 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: 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
Non-Incentive Stock Options (Right to Buy)$1.27 12/16/19 D 62,120 (2) 3/15/24Common Stock62,120 (3)0D
Non-Incentive Stock Options (Right to Buy)$2.46 12/16/19 D 31,041 (4) 3/28/23Common Stock31,041 (3)0D
Restricted Stock Units (1) 12/16/19 M 78,740 (5) (7) (5) (7)Common Stock78,740$00D
Restricted Stock Units (1) 12/16/19 M 40,646 (6) (7) (6) (7)Common Stock40,646$00D
Explanation of Responses:
(1)  Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
(2)  The option was originally granted on March 15, 2019 and provides for vesting in three equal annual installments commencing on March 15, 2020.
(3)  The option was cancelled by mutual agreement of the reporting person and the Issuer for nominal, non-cash consideration.
(4)  The option was originally granted on March 28, 2018 and provides for vesting in three equal annual installments commencing on March 28, 2019.
(5)  The RSUs were originally granted on March 15, 2019, with vesting on March 15, 2022, subject to acceleration upon certain events
(6)  The RSUs were originally granted on March 28, 2018, with vesting on March 28, 2021, subject to acceleration upon certain events.
(7)  Vesting accelerated to December 16, 2019, upon the closing of the sale of substantially all of the Issuer's assets.
Todd L. Phillips 12/18/19
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
____________
Transaction Codes:
    D    Disposition to the Issuer of Issuer equity securities pursuant to Rule 16b-3(e).
    F    Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

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