FORTERRA, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-03-18: Reporting owner Watson Karl; Form 4/A; Security Restricted Stock Unit; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-18: Reporting owner Sarrazin Jacques; Form 4; Security Restricted Stock Unit; 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 Restricted Stock Unit; 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 Restricted Stock Unit; 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 | Watson Karl Director, Officer (Chief Executive Officer) | 4/A | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −307,767 0 owned after | $0.00 | 2022-03-18 | |
| 2022-03-18 | Sarrazin Jacques Director | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,284 0 owned after | $0.00 | 2022-03-18 | |
| 2022-03-18 | McPherson John R Director | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,855 0 owned after | $0.00 | 2022-03-18 | |
| 2022-03-18 | McDonnough Clinton D Director | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,284 0 owned after | $0.00 | 2022-03-18 | |
| 2022-03-18 | Browne Lori M Officer (EVP and General Counsel) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −60,916 0 owned after | $0.00 | 2022-03-18 | |
| 2022-03-18 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −64,656 0 owned after | $0.00 | 2022-03-18 | |
| 2022-03-18 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −87,105 0 owned after | $0.00 | 2022-03-18 | |
| 2022-03-18 | Watson Karl Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −307,767 0 owned after | $0.00 | 2022-03-18 | |
| 2022-03-14 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,564 0 owned after | $0.00 | 2022-03-15 | |
| 2022-03-14 | Browne Lori M Officer (EVP and General Counsel) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,040 0 owned after | $0.00 | 2022-03-15 | |
| 2022-03-14 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,254 0 owned after | $0.00 | 2022-03-15 | |
| 2022-03-13 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,705 11,705 owned after | $0.00 | 2022-03-15 | |
| 2022-03-13 | Browne Lori M Officer (EVP and General Counsel) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,185 8,186 owned after | $0.00 | 2022-03-15 | |
| 2022-03-13 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,688 8,688 owned after | $0.00 | 2022-03-15 | |
| 2022-03-13 | Watson Karl Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −41,241 41,241 owned after | $0.00 | 2022-03-15 | |
| 2022-02-22 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,853 23,708 owned after | $0.00 | 2022-03-15 | |
| 2022-02-22 | Browne Lori M Officer (EVP and General Counsel) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,289 16,580 owned after | $0.00 | 2022-03-15 | |
| 2022-02-22 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,798 17,598 owned after | $0.00 | 2022-03-15 | |
| 2022-02-22 | Watson Karl Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −42,195 84,392 owned after | $0.00 | 2022-03-15 | |
| 2022-01-12 | Browne Lori M Officer (EVP and General Counsel) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,150 36,150 owned after | $0.00 | 2022-01-14 | |
| 2022-01-12 | BHATIA VIKRANT Officer (Pres, Water Pipe & Products) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,370 38,370 owned after | $0.00 | 2022-01-14 | |
| 2022-01-12 | Brown Charles Rodney Officer (EVP & Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +51,692 51,692 owned after | $0.00 | 2022-01-14 | |
| 2022-01-12 | Watson Karl Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +182,134 182,134 owned after | $0.00 | 2022-01-14 |