0001580695-21-000213.txt : 20210726 0001580695-21-000213.hdr.sgml : 20210726 20210726134516 ACCESSION NUMBER: 0001580695-21-000213 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210707 FILED AS OF DATE: 20210726 DATE AS OF CHANGE: 20210726 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Phillips David L CENTRAL INDEX KEY: 0001458878 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11476 FILM NUMBER: 211113611 MAIL ADDRESS: STREET 1: P.O. BOX 37167 CITY: HOUSTON STATE: TX ZIP: 77237 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 phillips-form4_070721.xml CHANGES IN BENEFICIAL OWNERSHIP X0306 4 2021-07-07 0 0000890447 Vertex Energy Inc. VTNR 0001458878 Phillips David L 1331 GEMINI STREET SUITE 250 HOUSTON TX 77058 1 0 0 0 Common Stock 2021-07-07 4 M 0 60000 2.08 A 145000 D Common Stock 2021-07-07 4 M 0 60000 1.26 A 205000 D Common Stock 2021-07-15 4 S 0 72172 9.00 D 132828 D Stock Option 2.08 2021-07-07 4 M 0 60000 0.00 D 2025-07-07 Common Stock 60000 0 D Stock Option 1.26 2021-07-07 4 M 0 60000 0.00 D 2026-12-13 Common Stock 60000 0 D This transaction was executed in multiple trades ranging between $9.04 and $9.00. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was affected. Options to purchase 15,000 shares vested on July 7, 2016, 2017, 2018 and 2019. Options to purchase 15,000 shares vested on December 13, 2017, 2018, 2019 and 2020. /s/ David L Phillips 2021-07-26