QAD Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-06-11: 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).
- 2018-06-11: 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).
- 2018-04-10: Reporting owner Chilton Anton; Form 4; Security Stock Appreciation Right (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-04-10: Reporting owner Chilton Anton; 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-06-11 | 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) | +190,000 190,000 owned after | $53.50 exercise price | 2018-06-12 | |
| 2018-06-11 | 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) | +190,000 190,000 owned after | $53.50 exercise price | 2018-06-12 | |
| 2018-04-10 | Chilton Anton Officer (EVP, Chief Global Field Ops.) | 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 | $9.95 exercise price | 2018-04-12 | |
| 2018-04-10 | Chilton Anton Officer (EVP, Chief Global Field Ops.) | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +7,500 0 owned after | $12.85 exercise price | 2018-04-12 | |
| 2018-04-10 | Chilton Anton Officer (EVP, Chief Global Field Ops.) | 4 | Stock Appreciation Right (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +7,500 0 owned after | $11.81 exercise price | 2018-04-12 | |
| 2018-04-02 | 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 | +120,000 0 owned after | $8.96 exercise price | 2018-04-04 | |
| 2018-04-02 | 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 | $8.96 exercise price | 2018-04-04 | |
| 2018-04-02 | 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 | +120,000 0 owned after | $8.96 exercise price | 2018-04-04 | |
| 2018-04-02 | 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 | +30,000 0 owned after | $8.96 exercise price | 2018-04-04 |