QAD Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-23: Reporting owner Bellamy Kara; Form 4; Security Stock Appreciation Right (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-23: Reporting owner Bellamy Kara; Form 4; Security Stock Appreciation Right (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-23: Reporting owner Bellamy Kara; Form 4; Security Stock Appreciation Right (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-06-14: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-23 | 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 0 owned after | $9.95 exercise price | 2016-12-27 | |
| 2016-12-23 | 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 0 owned after | $12.85 exercise price | 2016-12-27 | |
| 2016-12-23 | 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 0 owned after | $11.81 exercise price | 2016-12-27 | |
| 2016-06-14 | 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 | $19.12 exercise price | 2016-06-16 | |
| 2016-06-14 | 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 | $16.07 exercise price | 2016-06-16 | |
| 2016-06-14 | 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 | $19.12 exercise price | 2016-06-16 | |
| 2016-06-14 | 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 | $16.07 exercise price | 2016-06-16 |