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: 23 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-17: Reporting owner Adams Gary Kramer; Form 4; Security Restricted Common Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-11-16: Reporting owner Butcher Pamela R; Form 4; Security restricted stock units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-06-16: Reporting owner Loggenberg Peter Matthews; Form 4; Security restricted stock units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-16: Reporting owner Franklin Ronald R.; Form 4; Security restricted stock units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-11-17 | Adams Gary Kramer Director | 4 | Restricted Common Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,369 115,369 owned after | no price filed | 2017-11-20 | |
| 2017-11-16 | Butcher Pamela R Director | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,276 15,691 owned after | $0.00 | 2017-11-17 | |
| 2017-06-16 | Loggenberg Peter Matthews Officer (President of Subsidiary) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,055 40,737 owned after | $0.00 | 2017-06-20 | |
| 2017-06-16 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,271 149,920 owned after | $0.00 | 2017-06-20 | |
| 2017-06-16 | Cook Connie Officer (Secretary/Treasurer) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,421 136,625 owned after | $0.00 | 2017-06-20 | |
| 2017-06-16 | Upfill-Brown Simon H Director, Officer (President/CEO) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,684 326,671 owned after | $0.00 | 2017-06-20 | |
| 2017-06-16 | Williamson Mark D Officer (Vice President of Marketing) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,763 150,702 owned after | $0.00 | 2017-06-20 | |
| 2017-06-16 | AHMAD SAMI Officer (CFO) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,087 14,087 owned after | $0.00 | 2017-06-20 | |
| 2017-06-16 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,831 135,649 owned after | $0.00 | 2017-06-19 | |
| 2017-06-16 | McKee Allen P. Other (Former director) | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,066 0 owned after | $0.00 | 2017-06-19 | |
| 2017-06-16 | Loggenberg Peter Matthews Officer (President of Subsidiary) | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,417 23,682 owned after | $0.00 | 2017-06-19 | |
| 2017-06-16 | Williamson Mark D Officer (Vice President of Marketing) | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,929 135,939 owned after | $0.00 | 2017-06-19 | |
| 2017-06-16 | Upfill-Brown Simon H Director, Officer (President/CEO) | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,650 272,987 owned after | $0.00 | 2017-06-19 | |
| 2017-06-16 | Cook Connie Officer (Secretary/Treasurer) | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,662 123,204 owned after | $0.00 | 2017-06-19 | |
| 2017-06-16 | Townsend John Richard Director | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,022 41,068 owned after | $0.00 | 2017-06-16 | |
| 2017-06-16 | Twitchell Karen A. Director | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 18,000 owned after | $0.00 | 2017-06-16 | |
| 2017-06-16 | Palm Joseph P. Director | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,276 106,312 owned after | $0.00 | 2017-06-16 | |
| 2017-02-09 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −2,422 148,480 owned after | no price filed | 2017-02-13 | |
| 2017-02-09 | Loggenberg Peter Matthews Officer (President of Subsidiary) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −3,298 27,099 owned after | no price filed | 2017-02-10 | |
| 2017-02-09 | Williamson Mark D Officer (Vice President of Marketing) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −2,733 138,868 owned after | no price filed | 2017-02-10 | |
| 2017-02-09 | Cook Connie Officer (Secretary/Treasurer) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −2,120 125,866 owned after | no price filed | 2017-02-10 | |
| 2017-02-09 | Carter Nicholas Director | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −11,566 302,163 owned after | no price filed | 2017-02-10 | |
| 2017-02-09 | Upfill-Brown Simon H Director, Officer (President/CEO) | 4 | restricted common stock Derivative · Direct | C Conversion of derivative security | −7,370 283,637 owned after | no price filed | 2017-02-10 |