QAD Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-07-31: Reporting owner LOPKER PAMELA M; Form 4; Security Stock Appreciation Right (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-07-31: Reporting owner LOPKER KARL F; Form 4; Security Stock Appreciation Right (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-06-12: Reporting owner LOPKER PAMELA M; Form 4/A; Security Stock Appreciation Right (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-06-12: Reporting owner LOPKER KARL F; Form 4/A; Security Stock Appreciation Right (right to buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-07-31 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $13.35 exercise price | 2012-08-02 | |
| 2012-07-31 | LOPKER KARL F Director, Officer (CEO), 10% Owner | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $13.35 exercise price | 2012-08-02 | |
| 2012-06-12 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4/A | Stock Appreciation Right (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 160,000 owned after | $12.85 exercise price | 2012-08-02 | |
| 2012-06-12 | LOPKER KARL F Director, Officer (CEO), 10% Owner | 4/A | Stock Appreciation Right (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 160,000 owned after | $12.85 exercise price | 2012-08-02 | |
| 2012-06-12 | Bellamy Kara Officer (SVP/Chief Accounting Officer) | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,500 4,500 owned after | $12.85 exercise price | 2012-06-14 | |
| 2012-06-12 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $12.85 exercise price | 2012-06-14 | |
| 2012-06-12 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +190,000 190,000 owned after | $12.85 exercise price | 2012-06-14 | |
| 2012-06-12 | LOPKER KARL F Director, Officer (CEO), 10% Owner | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +190,000 190,000 owned after | $12.85 exercise price | 2012-06-14 | |
| 2012-06-08 | Bellamy Kara Officer (SVP/Chief Accounting Officer) | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +764 0 owned after | $7.82 exercise price | 2012-06-11 | |
| 2012-06-08 | Bellamy Kara Officer (SVP/Chief Accounting Officer) | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +191 0 owned after | $7.82 exercise price | 2012-06-11 | |
| 2012-01-23 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −778 0 owned after | $7.82 exercise price | 2012-01-25 | |
| 2012-01-23 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 4 | Stock Appreciation Right (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −195 0 owned after | $7.82 exercise price | 2012-01-25 |