TRECORA RESOURCES Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-17: Reporting owner Palm Joseph P.; Form 4; Security restricted common stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-11-17: Reporting owner Butcher Pamela R; Form 4; Security restricted common stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-05-19: Reporting owner Twitchell Karen A.; Form 4; Security restricted common stock; Transaction C Conversion of derivative security.
- 2016-05-17: Reporting owner Townsend John Richard; Form 4/A; Security restricted common stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-11-17 | Palm Joseph P. Director | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,105 116,938 owned after | no price filed | 2016-11-21 | |
| 2016-11-17 | Butcher Pamela R Director | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,967 21,967 owned after | no price filed | 2016-11-21 | |
| 2016-05-19 | Twitchell Karen A. Director | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −6,000 24,000 owned after | no price filed | 2016-05-19 | |
| 2016-05-17 | Townsend John Richard Director | 4/A | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,090 48,090 owned after | no price filed | 2016-06-10 | |
| 2016-05-17 | Townsend John Richard Director | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,068 41,068 owned after | no price filed | 2016-05-19 | |
| 2016-03-01 | Loggenberg Peter Matthews Officer (President of Subsidiary) | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,501 30,397 owned after | no price filed | 2016-03-02 | |
| 2016-03-01 | Cook Connie Officer (Secretary/Treasurer/CFO) | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,974 127,986 owned after | no price filed | 2016-03-02 | |
| 2016-03-01 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,986 150,902 owned after | no price filed | 2016-03-02 | |
| 2016-03-01 | Williamson Mark D Officer (Vice President of Marketing) | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,572 161,601 owned after | no price filed | 2016-03-02 | |
| 2016-03-01 | Upfill-Brown Simon H Director, Officer (President/CEO) | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +63,898 291,007 owned after | no price filed | 2016-03-02 | |
| 2016-02-09 | Cook Connie Officer (Secretary/Treasurer/CFO) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −2,120 117,012 owned after | no price filed | 2016-02-09 | |
| 2016-02-09 | Williamson Mark D Officer (Vice President of Marketing) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −2,733 144,029 owned after | no price filed | 2016-02-09 | |
| 2016-02-09 | Upfill-Brown Simon H Director, Officer (President/CEO) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −7,370 227,109 owned after | no price filed | 2016-02-09 | |
| 2016-02-09 | Carter Nicholas Director, Officer (Chairman) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −11,566 313,729 owned after | no price filed | 2016-02-09 | |
| 2016-02-09 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −2,422 133,916 owned after | no price filed | 2016-02-09 | |
| 2016-02-09 | Loggenberg Peter Matthews Officer (President of Subsidiary) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −3,298 9,896 owned after | no price filed | 2016-02-09 | |
| 2016-01-29 | McKee Allen P. Director | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,267 28,267 owned after | no price filed | 2016-02-16 |