QAD Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-12-10: 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.
- 2019-10-09: Reporting owner Bellamy Kara; Form 5; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-08-22: 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.
- 2019-08-22: 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-12-10 | 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 | −150,000 0 owned after | $10.56 exercise price | 2019-12-12 | |
| 2019-10-09 | Bellamy Kara Officer (SVP/Chief Accounting Officer) | 5 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,125 0 owned after | $11.81 exercise price | 2020-03-10 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +47,500 0 owned after | $31.65 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +80,000 0 owned after | $19.12 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 0 owned after | $16.07 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +120,000 0 owned after | $26.11 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +22,500 0 owned after | $21.25 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +160,000 0 owned after | $22.18 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +30,000 0 owned after | $18.80 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +160,000 0 owned after | $11.81 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +30,000 0 owned after | $10.50 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +30,000 0 owned after | $13.35 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +160,000 0 owned after | $12.85 exercise price | 2019-08-26 | |
| 2019-08-22 | LOPKER PAMELA M Director, Officer (President), 10% Owner | 4 | Stock Appreciation Right (Right to Buy) Derivative · Indirect · Estate of Karl F. Lopker | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +150,000 0 owned after | $10.56 exercise price | 2019-08-26 |