FORTERRA, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 54 rows, 54 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-03-18: Reporting owner Sarrazin Jacques; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-18: Reporting owner McPherson John R; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-18: Reporting owner McPherson John R; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-18: Reporting owner McDonnough Clinton D; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-03-18 | Sarrazin Jacques Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,810 0 owned after | $18.00 exercise price | 2022-03-18 | |
| 2022-03-18 | McPherson John R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,810 0 owned after | $18.00 exercise price | 2022-03-18 | |
| 2022-03-18 | McPherson John R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −224,282 0 owned after | $4.60 exercise price | 2022-03-18 | |
| 2022-03-18 | McDonnough Clinton D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,810 0 owned after | $18.00 exercise price | 2022-03-18 | |
| 2022-03-18 | Browne Lori M Officer (EVP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −21,880 0 owned after | $18.00 exercise price | 2022-03-18 | |
| 2022-03-18 | Browne Lori M Officer (EVP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,483 0 owned after | $18.96 exercise price | 2022-03-18 | |
| 2022-03-18 | Browne Lori M Officer (EVP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −107,787 0 owned after | $7.29 exercise price | 2022-03-18 | |
| 2022-03-18 | Browne Lori M Officer (EVP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −133,775 0 owned after | $4.24 exercise price | 2022-03-18 | |
| 2022-03-18 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,384 0 owned after | $8.92 exercise price | 2022-03-18 | |
| 2022-03-18 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −32,967 0 owned after | $9.16 exercise price | 2022-03-18 | |
| 2022-03-18 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,891 0 owned after | $7.29 exercise price | 2022-03-18 | |
| 2022-03-18 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,618 0 owned after | $4.24 exercise price | 2022-03-18 | |
| 2022-03-18 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −271,084 0 owned after | $4.23 exercise price | 2022-03-18 | |
| 2022-03-18 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −176,680 0 owned after | $7.29 exercise price | 2022-03-18 | |
| 2022-03-18 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −197,351 0 owned after | $4.24 exercise price | 2022-03-18 | |
| 2021-12-27 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −81,236 40,618 owned after | $4.24 exercise price | 2021-12-29 | |
| 2021-12-27 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −53,200 55,891 owned after | $7.29 exercise price | 2021-12-29 | |
| 2019-06-21 | McPherson John R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +224,282 224,282 owned after | $4.60 exercise price | 2019-06-25 | |
| 2019-03-14 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +197,351 197,351 owned after | $4.24 exercise price | 2019-12-17 | |
| 2019-03-14 | Browne Lori M Officer (Ex. VP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +133,775 133,775 owned after | $4.24 exercise price | 2019-03-18 | |
| 2019-03-14 | BHATIA VIKRANT Officer (Executive Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +121,854 121,854 owned after | $4.24 exercise price | 2019-03-18 | |
| 2019-03-14 | Bradley Jeff Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +723,179 723,179 owned after | $4.24 exercise price | 2019-03-18 | |
| 2019-03-14 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +197,351 197,351 owned after | $4.24 exercise price | 2019-03-18 | |
| 2019-03-14 | HUNTER RICHARD J Officer (Chief Operating Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +162,914 162,914 owned after | $4.24 exercise price | 2019-03-18 | |
| 2018-06-11 | HUNTER RICHARD J Officer (Chief Operating Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,020 69,020 owned after | $9.23 exercise price | 2018-06-12 | |
| 2018-03-01 | BHATIA VIKRANT Officer (Executive Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +109,091 109,091 owned after | $7.29 exercise price | 2018-03-05 | |
| 2018-03-01 | Browne Lori M Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +107,787 107,787 owned after | $7.29 exercise price | 2018-03-05 | |
| 2018-03-01 | Kerfin William Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +109,921 109,921 owned after | $7.29 exercise price | 2018-03-05 | |
| 2018-03-01 | Carpenter Mark D Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +109,921 109,921 owned after | $7.29 exercise price | 2018-03-05 | |
| 2018-03-01 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +176,680 176,680 owned after | $7.29 exercise price | 2018-03-05 | |
| 2018-03-01 | Bradley Jeff Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +594,545 594,545 owned after | $7.29 exercise price | 2018-03-05 | |
| 2017-12-12 | BHATIA VIKRANT Officer (Executive Vice President) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,967 32,967 owned after | $9.16 exercise price | 2018-05-30 | |
| 2017-12-12 | BHATIA VIKRANT Officer (Executive Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,967 67,351 owned after | $9.16 exercise price | 2017-12-14 | |
| 2017-09-25 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +271,084 271,084 owned after | $4.23 exercise price | 2017-09-27 | |
| 2017-08-07 | BHATIA VIKRANT Officer (Executive Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,384 34,384 owned after | $8.92 exercise price | 2017-08-09 | |
| 2017-03-20 | Wayman Matthew Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,276 8,276 owned after | $18.96 exercise price | 2017-03-22 | |
| 2017-03-20 | Sexe Edward Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,414 12,414 owned after | $18.96 exercise price | 2017-03-22 | |
| 2017-03-20 | Leonard Scott Edward Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,587 27,587 owned after | $18.96 exercise price | 2017-03-22 | |
| 2017-03-20 | Kerfin William Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,725 21,725 owned after | $18.96 exercise price | 2017-03-22 | |
| 2017-03-20 | Carpenter Mark D Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,725 21,725 owned after | $18.96 exercise price | 2017-03-22 | |
| 2017-03-20 | Browne Lori M Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,483 14,483 owned after | $18.96 exercise price | 2017-03-22 | |
| 2017-03-20 | Brown William Matthew Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,035 31,035 owned after | $18.96 exercise price | 2017-03-22 | |
| 2017-03-20 | Bradley Jeff Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +103,449 103,449 owned after | $18.96 exercise price | 2017-03-22 | |
| 2017-01-12 | Leonard Scott Edward Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,541 40,541 owned after | $18.99 exercise price | 2017-01-17 | |
| 2016-10-20 holding as of filing | McDonnough Clinton D Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $18.00 exercise price | 2016-10-20 | ||
| 2016-10-20 holding as of filing | Sarrazin Jacques Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $18.00 exercise price | 2016-10-20 | ||
| 2016-10-20 holding as of filing | McPherson John R Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $18.00 exercise price | 2016-10-20 | ||
| 2016-10-19 | Kerfin William Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,630 20,630 owned after | $18.00 exercise price | 2016-10-20 | |
| 2016-10-19 | Wayman Matthew Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $18.00 exercise price | 2016-10-20 | |
| 2016-10-19 | Browne Lori M Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,880 21,880 owned after | $18.00 exercise price | 2016-10-20 | |
| 2016-10-19 | Brown William Matthew Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,130 28,130 owned after | $18.00 exercise price | 2016-10-20 | |
| 2016-10-19 | Carpenter Mark D Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,630 20,630 owned after | $18.00 exercise price | 2016-10-20 | |
| 2016-10-19 | Sexe Edward Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,380 9,380 owned after | $18.00 exercise price | 2016-10-20 | |
| 2016-10-19 | Bradley Jeff Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +93,750 93,750 owned after | $18.00 exercise price | 2016-10-20 |