QAD Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-07-21: Reporting owner LOPKER KARL F; Form 4; Security Stock Appreciation Right (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-07-21: Reporting owner LOPKER KARL F; Form 4; Security Stock Appreciation Right (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-07-16: 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.
- 2014-07-16: 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-07-21 | LOPKER KARL F Director, Officer (CEO), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −60,000 0 owned after | $14.74 exercise price | 2014-07-22 | |
| 2014-07-21 | LOPKER KARL F Director, Officer (CEO), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $14.74 exercise price | 2014-07-22 | |
| 2014-07-16 | 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 | −60,000 0 owned after | $14.74 exercise price | 2014-07-17 | |
| 2014-07-16 | 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 | −15,000 0 owned after | $14.74 exercise price | 2014-07-17 | |
| 2014-06-14 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 5 | Stock Appreciation Right (right to buy) Derivative · Direct | W Acquisition or disposition by will or the laws of descent and distribution | −4,349 0 owned after | $7.82 exercise price | 2015-03-13 | |
| 2014-06-14 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 5 | Stock Appreciation Right (right to buy) Derivative · Direct | W Acquisition or disposition by will or the laws of descent and distribution | −10,000 0 owned after | $9.80 exercise price | 2015-03-13 | |
| 2014-06-14 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 5 | Stock Appreciation Right (right to buy) Derivative · Direct | W Acquisition or disposition by will or the laws of descent and distribution | −3,375 0 owned after | $9.95 exercise price | 2015-03-13 | |
| 2014-06-14 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 5 | Stock Appreciation Right (right to buy) Derivative · Direct | W Acquisition or disposition by will or the laws of descent and distribution | −3,750 0 owned after | $12.85 exercise price | 2015-03-13 | |
| 2014-06-14 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 5 | Stock Appreciation Right (right to buy) Derivative · Direct | W Acquisition or disposition by will or the laws of descent and distribution | −1,875 0 owned after | $11.81 exercise price | 2015-03-13 | |
| 2014-06-14 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 5 | Stock Appreciation Right (right to buy) Derivative · Direct | W Acquisition or disposition by will or the laws of descent and distribution | −1,088 0 owned after | $7.82 exercise price | 2015-03-13 | |
| 2014-06-14 | Fleming Gordon Officer (EVP & Chief Marketing Officer) | 5 | Stock Appreciation Right (right to buy) Derivative · Direct | W Acquisition or disposition by will or the laws of descent and distribution | −2,500 0 owned after | $9.80 exercise price | 2015-03-13 | |
| 2014-06-11 | 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) | +160,000 160,000 owned after | $22.18 exercise price | 2014-06-13 | |
| 2014-06-11 | 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 | $18.80 exercise price | 2014-06-13 | |
| 2014-06-11 | 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) | +160,000 160,000 owned after | $22.18 exercise price | 2014-06-13 | |
| 2014-06-11 | 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 | $18.80 exercise price | 2014-06-13 | |
| 2014-06-10 | 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 | −7,200 0 owned after | $9.80 exercise price | 2014-06-12 | |
| 2014-06-10 | 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 | −3,375 1,125 owned after | $9.95 exercise price | 2014-06-12 | |
| 2014-06-10 | 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 | −1,125 3,375 owned after | $12.85 exercise price | 2014-06-12 | |
| 2014-04-07 | 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 | −2,527 0 owned after | $7.82 exercise price | 2014-04-09 | |
| 2014-04-07 | 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 | −632 0 owned after | $7.82 exercise price | 2014-04-09 | |
| 2014-04-07 | VAN CUYLENBURG PETER Director | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $13.94 exercise price | 2014-04-09 | |
| 2014-04-07 | VAN CUYLENBURG PETER Director | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $13.94 exercise price | 2014-04-09 | |
| 2014-03-20 | LENDER DANIEL Officer (EVP & CFO) | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,770 0 owned after | $7.82 exercise price | 2014-03-21 | |
| 2014-03-20 | LENDER DANIEL Officer (EVP & CFO) | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,693 0 owned after | $7.82 exercise price | 2014-03-21 | |
| 2014-03-20 | O'Malia Thomas J Director | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 0 owned after | $15.00 exercise price | 2014-03-21 | |
| 2014-03-20 | O'Malia Thomas J Director | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $15.00 exercise price | 2014-03-21 |