QAD Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-10-15: Reporting owner Fleming Gordon; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-10-15: Reporting owner Bellamy Kara; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-08-13: Reporting owner Fleming Gordon; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-08-13: Reporting owner Fleming Gordon; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-10-15 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.90 exercise price | 2009-10-19 | |
| 2009-10-15 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $4.90 exercise price | 2009-10-19 | |
| 2009-08-13 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,944 1,944 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,800 4,800 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000 0 owned after | $6.97 exercise price | 2009-08-18 | |
| 2009-08-13 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,316 6,316 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $9.30 exercise price | 2009-08-18 | |
| 2009-08-13 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,872 10,872 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,908 1,908 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,600 1,600 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $6.97 exercise price | 2009-08-18 | |
| 2009-08-13 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,160 3,160 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000 0 owned after | $8.05 exercise price | 2009-08-18 | |
| 2009-08-13 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,716 5,716 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $9.30 exercise price | 2009-08-18 | |
| 2009-08-13 | Bellamy Kara Officer (VP & Chief Accounting Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,348 4,348 owned after | $3.91 | 2009-08-18 | |
| 2009-08-13 | LENDER DANIEL Officer (EVP & CFO) | 4/A | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $5.12 exercise price | 2009-08-17 | |
| 2009-08-13 | LENDER DANIEL Officer (EVP & CFO) | 4/A | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +76,924 76,924 owned after | $3.91 | 2009-08-17 | |
| 2009-08-13 | LENDER DANIEL Officer (EVP & CFO) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +100,000 0 owned after | $5.12 exercise price | 2009-08-17 | |
| 2009-08-13 | LENDER DANIEL Officer (EVP & CFO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +76,924 76,924 owned after | $3.91 | 2009-08-17 | |
| 2009-04-15 holding as of filing | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $6.97 exercise price | 2009-04-15 | ||
| 2009-04-15 holding as of filing | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $9.30 exercise price | 2009-04-15 |