0001580695-19-000205.txt : 20190524 0001580695-19-000205.hdr.sgml : 20190524 20190524180939 ACCESSION NUMBER: 0001580695-19-000205 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190520 FILED AS OF DATE: 20190524 DATE AS OF CHANGE: 20190524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stratton Christopher Allen CENTRAL INDEX KEY: 0001470954 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11476 FILM NUMBER: 19855604 MAIL ADDRESS: STREET 1: 1331 GEMINI STREET STREET 2: #250 CITY: HOUSTON STATE: TX ZIP: 77058 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vertex Energy Inc. CENTRAL INDEX KEY: 0000890447 STANDARD INDUSTRIAL CLASSIFICATION: PETROLEUM REFINING [2911] IRS NUMBER: 943439569 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1331 GEMINI STREET STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77058 BUSINESS PHONE: 866-660-8156 MAIL ADDRESS: STREET 1: 1331 GEMINI STREET STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77058 FORMER COMPANY: FORMER CONFORMED NAME: WORLD WASTE TECHNOLOGIES INC DATE OF NAME CHANGE: 20040830 FORMER COMPANY: FORMER CONFORMED NAME: VOICE POWERED TECHNOLOGY INTERNATIONAL INC DATE OF NAME CHANGE: 19940831 4 1 ownership.xml OWNERSHIP DOCUMENT X0306 4 2019-05-20 0 0000890447 Vertex Energy Inc. VTNR 0001470954 Stratton Christopher Allen 1331 GEMINI STREET SUITE 250 HOUSTON TX 77058 1 0 0 0 Common Stock 2019-05-13 4 M 0 5000 0.45 A 5000 D Common Stock 2019-05-13 4 F 0 1442 1.56 D 3558 D Stock Option 0.45 2019-05-13 4 M 0 5000 D 2010-07-15 2019-07-15 Common Stock 5000 20000 D Stock Option 1.45 2019-05-20 4 A 0 15000 A 2020-05-20 2029-05-20 Common Stock 15000 15000 D Stock Option 1.45 2019-05-20 4 A 0 15000 A 2021-05-20 2029-05-20 Common Stock 15000 15000 D Stock Option 1.45 2019-05-20 4 A 0 15000 A 2022-05-20 2029-05-20 Common Stock 15000 15000 D Stock Option 1.45 2019-05-20 4 A 0 15000 A 2023-05-20 2029-05-20 Common Stock 15000 15000 D Represents a "net exercise" of outstanding stock options. The reporting person received 3,558 shares of common stock upon the net exercise of options to purchase 5,000 shares of common stock. The Company withheld 1,442 shares of common stock underlying the portion of the option exercised for payment of the exercise price, using the fair market value on May 13, 2019, of $1.56, pursuant to the terms of the Registrant's 2009 Stock Incentive Plan. Exempt from Section 16 under Rule 16b-3. Small acquisition under Rule 16a-6. Stock options granted pursuant to the Registrant's 2009 Stock Incentive Plan, as amended, in a transaction exempt from Section 16 under Rule 16b-3. Granted in consideration for services rendered and to be rendered as a member of the board of directors. /s/ Christopher Allen Stratton 2019-05-24