TRECORA RESOURCES Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 61 rows, 61 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-06-27: Reporting owner Carter Nicholas; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-06-27: Reporting owner Adams Gary Kramer; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-02-01: Reporting owner Townsend John Richard; Form 4; Security 05/02/2011 Stock Options; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-12-13: Reporting owner Carter Nicholas; Form 4; Security 01/11/11 stock options; 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 |
|---|---|---|---|---|---|---|---|---|
| 2022-06-27 | Carter Nicholas Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −150,000 0 owned after | $12.26 exercise price | 2022-06-28 | |
| 2022-06-27 | Adams Gary Kramer Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.67 | 2022-06-28 | |
| 2021-02-01 | Townsend John Richard Officer (Chief Manufacturing Officer) | 4 | 05/02/2011 Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $4.09 exercise price | 2021-02-03 | |
| 2018-12-13 | Carter Nicholas Director, Officer (Executive Chairman) | 4 | 01/11/11 stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −87,878 0 owned after | $4.86 exercise price | 2018-12-17 | |
| 2018-11-07 | Palm Joseph P. Director | 4 | 09/25/11 stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 18,829 owned after | $3.52 exercise price | 2018-11-09 | |
| 2018-07-09 | Carter Nicholas Director, Officer (Chairman) | 4 | 01/11/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −41,152 249,445 owned after | $4.86 exercise price | 2018-07-20 | |
| 2018-01-10 | Palm Joseph P. Director | 4 | 05/20/11 stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,483 98,829 owned after | $3.90 exercise price | 2018-01-12 | |
| 2018-01-10 | Palm Joseph P. Director | 4 | 09/25/11 stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 58,829 owned after | $3.52 exercise price | 2018-01-12 | |
| 2017-06-09 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | 06/22/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −10,000 138,480 owned after | $2.47 exercise price | 2017-06-09 | |
| 2017-01-23 | Palm Joseph P. Director | 4 | 05/20/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,350 112,588 owned after | $3.90 exercise price | 2017-01-24 | |
| 2016-09-06 | Williamson Mark D Officer (Vice President of Marketing) | 4 | 01/28/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,000 141,601 owned after | $2.21 exercise price | 2016-09-07 | |
| 2016-03-01 | Cook Connie Officer (Secretary/Treasurer/CFO) | 4 | 01/28/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,000 112,012 owned after | $2.21 exercise price | 2016-03-02 | |
| 2016-01-04 | Palm Joseph P. Director | 4 | 05/20/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,000 91,833 owned after | $3.90 | 2016-01-05 | |
| 2015-10-12 | McKee Allen P. Director | 4 | 01/28/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,667 100,000 owned after | $2.21 | 2015-10-13 | |
| 2015-10-12 | McKee Allen P. Director | 4 | 02/23/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −100,000 0 owned after | $2.82 | 2015-10-13 | |
| 2015-06-09 | Townsend John Richard Director | 4 | 05/02/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,000 20,000 owned after | $4.09 | 2015-06-09 | |
| 2015-04-30 | Palm Joseph P. Director | 4 | 05/20/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,500 94,833 owned after | $3.90 | 2015-05-01 | |
| 2015-03-06 | Upfill-Brown Simon H Director, Officer (Executive Vice President) | 4 | 05/29/13 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +5,000 234,479 owned after | $7.71 | 2015-03-09 | |
| 2015-03-06 | Carter Nicholas Director, Officer (President and CEO) | 4 | 01/28/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +15,000 325,295 owned after | $2.21 | 2015-03-09 | |
| 2015-03-06 | Cook Connie Officer (Secretary/Treasurer) | 4 | 01/28/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +5,000 119,132 owned after | $2.21 | 2015-03-09 | |
| 2015-01-28 | Palm Joseph P. Director | 4 | 05/20/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,500 96,333 owned after | $3.90 | 2015-01-29 | |
| 2014-08-22 | Townsend John Richard Director | 4 | 05/02/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,000 40,000 owned after | $4.09 | 2014-08-25 | |
| 2014-02-25 | Carter Nicholas Director, Officer (President and CEO) | 4 | 01/28/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +15,000 294,030 owned after | $2.21 | 2014-02-25 | |
| 2014-02-24 | Cook Connie Officer (Secretary/Treasurer) | 4 | 01/28/10 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +5,000 115,650 owned after | $2.21 | 2014-02-25 | |
| 2014-02-21 | Carter Nicholas Director, Officer (President and CEO) | 4 | stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 309,030 owned after | $12.26 exercise price | 2014-02-25 | |
| 2014-02-21 | Williamson Mark D Officer (Vice President of Marketing) | 4 | stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 135,830 owned after | $12.26 exercise price | 2014-02-25 | |
| 2014-02-21 | Upfill-Brown Simon H Officer (Executive Vice President) | 4 | stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 210,000 owned after | $12.26 exercise price | 2014-02-25 | |
| 2014-02-21 | Cook Connie Officer (Secretary/Treasurer) | 4 | stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,000 120,650 owned after | $12.26 exercise price | 2014-02-25 | |
| 2014-02-21 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +58,000 126,650 owned after | $12.26 exercise price | 2014-02-25 | |
| 2013-09-18 | Townsend John Richard Director | 4 | 05/02/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,000 60,000 owned after | $4.09 | 2013-09-19 | |
| 2013-05-29 | Upfill-Brown Simon H Officer (Executive VIce President) | 4 | stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +90,000 90,000 owned after | $7.71 exercise price | 2013-05-29 | |
| 2013-05-06 | Palm Joseph P. Director | 4 | 05/20/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,500 97,833 owned after | $3.90 | 2013-05-07 | |
| 2012-11-15 | Adams Gary Kramer Director | 4 | stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $7.14 exercise price | 2012-11-16 | |
| 2012-09-04 | Townsend John Richard Director | 4 | 05/02/11 stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,000 80,000 owned after | $4.09 | 2012-09-05 | |
| 2011-12-06 | Goehringer Charles JR Other (General Counsel) | 4 | 01/02/2009 Stock Options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −7,000 27,000 owned after | $1.39 | 2011-12-08 | |
| 2011-12-06 | Goehringer Charles JR Other (General Counsel) | 4 | 02/21/2010 Stock Options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −7,000 20,000 owned after | $2.21 | 2011-12-08 | |
| 2011-12-06 | Goehringer Charles JR Other (General Counsel) | 4 | 02/22/2011 Stock Options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,000 0 owned after | $2.82 | 2011-12-08 | |
| 2011-09-25 | Palm Joseph P. Director | 5 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 99,333 owned after | $3.52 exercise price | 2012-01-17 | |
| 2011-05-20 | Palm Joseph P. Director | 4 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,333 19,333 owned after | $3.90 exercise price | 2011-08-03 | |
| 2011-05-02 | Townsend John Richard Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.09 exercise price | 2011-05-24 | |
| 2011-01-12 | Williamson Mark D Officer (VP of Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,830 70,830 owned after | $4.86 exercise price | 2011-05-24 | |
| 2011-01-12 | Cook Connie Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +58,650 73,650 owned after | $4.86 exercise price | 2011-05-24 | |
| 2011-01-12 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +58,650 68,650 owned after | $4.86 exercise price | 2011-05-24 | |
| 2011-01-12 | Carter Nicholas Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +129,030 159,030 owned after | $4.86 exercise price | 2011-05-24 | |
| 2010-06-22 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $2.47 exercise price | 2011-05-24 | |
| 2010-02-23 | McKee Allen P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 104,667 owned after | $2.82 exercise price | 2011-05-24 | |
| 2010-02-23 | Sultan Ghazi Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 114,000 owned after | $2.82 exercise price | 2011-05-24 | |
| 2010-02-23 | Goehringer Charles JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 114,000 owned after | $2.82 exercise price | 2011-05-24 | |
| 2010-01-28 | Goehringer Charles JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 14,000 owned after | $2.21 exercise price | 2010-02-01 | |
| 2010-01-28 | Kennedy Robert E. Director | 4 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 14,000 owned after | $2.21 exercise price | 2010-02-01 | |
| 2010-01-28 | Williamson Mark D Officer (Vice President of Marketing) | 4 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $2.21 exercise price | 2010-02-01 | |
| 2010-01-28 | McKee Allen P. Director | 4 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,667 4,667 owned after | $2.21 exercise price | 2010-02-01 | |
| 2010-01-28 | Cook Connie Officer (Secretary/Treasurer) | 4 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $2.21 exercise price | 2010-02-01 | |
| 2010-01-28 | Carter Nicholas Director, Officer (President, CEO) | 4 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $2.21 exercise price | 2010-02-01 | |
| 2010-01-28 | AL OMAIR MOHAMMED OTHMAN Director | 4 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 14,000 owned after | $2.21 exercise price | 2010-02-01 | |
| 2010-01-28 | Sultan Ghazi Director | 4 | stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 14,000 owned after | $2.21 exercise price | 2010-02-01 | |
| 2009-01-02 | Al Moneef Ibrahim Director | 4 | 01/02/09 grant of options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $1.39 | 2009-01-20 | |
| 2009-01-02 | AL OMAIR MOHAMMED OTHMAN Director | 4 | 01/02/09 grant of options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $1.39 | 2009-01-20 | |
| 2009-01-02 | Sultan Ghazi Director | 4 | 01/02/09 grant of options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 107,000 owned after | $1.39 | 2009-01-20 | |
| 2009-01-02 | Kennedy Robert E. Director | 4 | 01/02/09 grant of options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $1.39 | 2009-01-14 | |
| 2009-01-02 | Goehringer Charles JR Director | 4 | 01/02/2009 Grant of Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $1.39 | 2009-01-14 |