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: 34 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-11-16: 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.
- 2018-11-16: Reporting owner Adams Gary Kramer; Form 4; Security Restricted Common Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-09-01: Reporting owner Quarles Patrick D.; Form 4; Security restricted stock units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-08-08: Reporting owner Groves CHRISTOPHER A.; Form 4; 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-11-16 | 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 21,967 owned after | $0.00 | 2018-11-20 | |
| 2018-11-16 | Adams Gary Kramer Director | 4 | Restricted Common Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,148 109,221 owned after | $0.00 | 2018-11-20 | |
| 2018-09-01 | Quarles Patrick D. Director | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,375 9,375 owned after | $0.00 | 2018-09-05 | |
| 2018-08-08 | Groves CHRISTOPHER A. Officer (Principal Accounting Officer) | 4 | restricted common stock Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150 150 owned after | no price filed | 2018-09-07 | |
| 2018-08-08 | Groves CHRISTOPHER A. Officer (Principal Accounting Officer) | 4 | restricted common stock Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −45 105 owned after | $12.85 | 2018-09-07 | |
| 2018-07-09 | Humby Michael Jordan Officer (EVP Commercial) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2018-07-19 | |
| 2018-06-16 | 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 | −8,947 355,260 owned after | $0.00 | 2018-06-18 | |
| 2018-06-16 | AHMAD SAMI Officer (CFO) | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,348 25,749 owned after | $0.00 | 2018-06-18 | |
| 2018-06-16 | Loggenberg Peter Matthews Officer (Chief Sustainability Officer) | 4 | restricted common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,843 47,500 owned after | $0.00 | 2018-06-18 | |
| 2018-06-16 | 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 | −2,461 156,846 owned after | $0.00 | 2018-06-18 | |
| 2018-05-21 | 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 12,000 owned after | $0.00 | 2018-05-21 | |
| 2018-05-16 | 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 34,046 owned after | $0.00 | 2018-05-16 | |
| 2018-05-09 | 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 65,105 owned after | $0.00 | 2018-05-16 | |
| 2018-02-28 | Williamson Mark D Officer (Vice President of Marketing) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,929 159,307 owned after | $0.00 | 2018-03-01 | |
| 2018-02-28 | Cook Connie Officer (Secretary) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,662 144,812 owned after | $0.00 | 2018-03-01 | |
| 2018-02-28 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,831 158,459 owned after | $0.00 | 2018-03-01 | |
| 2018-02-28 | Upfill-Brown Simon H Director, Officer (President/CEO) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,650 364,207 owned after | $0.00 | 2018-03-01 | |
| 2018-02-28 | Loggenberg Peter Matthews Officer (President of Subsidiary) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,417 50,343 owned after | $0.00 | 2018-03-01 | |
| 2018-02-20 | 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) | +16,322 53,760 owned after | $0.00 | 2018-02-21 | |
| 2018-02-20 | 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) | +13,792 161,290 owned after | $0.00 | 2018-02-21 | |
| 2018-02-20 | AHMAD SAMI Officer (CFO) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,010 28,097 owned after | $0.00 | 2018-02-21 | |
| 2018-02-20 | 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) | +14,267 162,236 owned after | $0.00 | 2018-02-21 | |
| 2018-02-20 | 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) | +55,556 374,857 owned after | $0.00 | 2018-02-21 | |
| 2018-02-20 | Cook Connie Officer (Secretary) | 4/A | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,970 147,474 owned after | $0.00 | 2018-02-21 | |
| 2018-02-20 | Cook Connie Officer (Secretary) | 4/A | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,970 147,474 owned after | $0.00 | 2018-02-21 | |
| 2018-02-20 | Cook Connie Officer (Secretary) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,970 147,474 owned after | $0.00 | 2018-02-21 | |
| 2018-02-09 | Loggenberg Peter Matthews Officer (President of Subsidiary) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,299 37,438 owned after | $0.00 | 2018-02-21 | |
| 2018-02-09 | Franklin Ronald R. Officer (VP of Manufacturing) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,422 147,498 owned after | $0.00 | 2018-02-21 | |
| 2018-02-09 | Williamson Mark D Officer (Vice President of Marketing) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,733 147,969 owned after | $0.00 | 2018-02-21 | |
| 2018-02-09 | Carter Nicholas Director, Officer (Chairman) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,566 290,597 owned after | $0.00 | 2018-02-21 | |
| 2018-02-09 | Upfill-Brown Simon H Director, Officer (President/CEO) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,370 319,301 owned after | $0.00 | 2018-02-21 | |
| 2018-02-09 | Cook Connie Officer (Secretary) | 4/A | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,121 134,504 owned after | $0.00 | 2018-02-21 | |
| 2018-02-09 | Cook Connie Officer (Secretary) | 4/A | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,121 134,504 owned after | $0.00 | 2018-02-21 | |
| 2018-02-09 | Cook Connie Officer (Secretary) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,121 134,504 owned after | $0.00 | 2018-02-21 |