QAD Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-11-05: Reporting owner LOPKER PAMELA M; Form 4; Security Stock Appreciation Right (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-11-05: Reporting owner LOPKER PAMELA M; Form 4; Security Stock Appreciation Right (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-06-08: Reporting owner LOPKER PAMELA M; Form 4; Security Stock Appreciation Right (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-06-08: Reporting owner LOPKER PAMELA M; Form 4; Security Stock Appreciation Right (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-11-05 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −860,000 0 owned after | $0.00 | 2021-11-09 | |
| 2021-11-05 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −90,000 0 owned after | $0.00 | 2021-11-09 | |
| 2021-06-08 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −160,000 0 owned after | $11.81 exercise price | 2021-06-10 | |
| 2021-06-08 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 0 owned after | $10.50 exercise price | 2021-06-10 |