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 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-03: Reporting owner Quarles Patrick D.; Form 4; Security restricted stock units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-06-16: Reporting owner Loggenberg Peter Matthews; Form 4; Security restricted common stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-06-16: Reporting owner Loggenberg Peter Matthews; Form 4; Security restricted common stock; Transaction J Other acquisition or disposition (describe transaction).
- 2020-06-16: Reporting owner AHMAD SAMI; Form 4; Security restricted stock units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-12-03 | Quarles Patrick D. Director, Officer (President and CEO) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 154,412 owned after | $7.01 | 2020-12-04 | |
| 2020-06-16 | 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 | −2,842 76,429 owned after | $5.51 | 2020-06-18 | |
| 2020-06-16 | Loggenberg Peter Matthews Officer (Chief Sustainability Officer) | 4 | restricted common stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −8,528 67,901 owned after | $0.00 | 2020-06-18 | |
| 2020-06-16 | AHMAD SAMI Officer (CFO) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,347 61,823 owned after | $5.51 | 2020-06-18 | |
| 2020-06-16 | AHMAD SAMI Officer (CFO) | 4 | restricted stock units Derivative · Direct | J Other acquisition or disposition (describe transaction) | −7,044 54,779 owned after | $0.00 | 2020-06-18 | |
| 2020-06-01 | Silberman Michael W Officer (General Counsel and Secretary) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,042 78,013 owned after | $6.50 | 2021-04-01 | |
| 2020-06-01 | Silberman Michael W Officer (General Counsel and Secretary) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,866 36,866 owned after | $6.51 | 2020-06-03 | |
| 2020-05-19 | 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 13,251 owned after | no price filed | 2020-05-19 | |
| 2020-05-18 | Twitchell Karen A. Director | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,251 19,251 owned after | $5.66 | 2020-05-19 | |
| 2020-05-18 | Roemer Janet Skogan Director | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,251 13,251 owned after | $5.66 | 2020-05-19 | |
| 2020-05-18 | Peakes Adam C Director | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,251 13,251 owned after | $5.66 | 2020-05-19 | |
| 2020-05-18 | Carter Nicholas Director | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,251 13,251 owned after | $5.66 | 2020-05-19 | |
| 2020-05-18 | Butcher Pamela R Director | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,251 13,251 owned after | $5.66 | 2020-05-19 | |
| 2020-05-18 | Adams Gary Kramer Director | 4 | Restricted Common Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,251 113,251 owned after | $5.66 | 2020-05-19 | |
| 2020-05-16 | Roemer Janet Skogan Director | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −682 0 owned after | no price filed | 2020-05-19 | |
| 2020-05-16 | Peakes Adam C Director | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −682 0 owned after | no price filed | 2020-05-19 | |
| 2020-05-16 | Butcher Pamela R Director | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,139 0 owned after | no price filed | 2020-05-19 | |
| 2020-05-16 | Adams Gary Kramer Director | 4 | Restricted Common Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,073 100,000 owned after | no price filed | 2020-05-19 | |
| 2020-04-08 | Roemer Janet Skogan Director | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,188 682 owned after | $0.00 | 2020-04-09 | |
| 2020-04-08 | Peakes Adam C Director | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,188 682 owned after | $0.00 | 2020-04-09 | |
| 2020-03-11 | TANNER JOSEPH MICHAEL Officer (SVP Commercial) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 46,349 owned after | $0.00 | 2020-03-11 | |
| 2020-02-20 | 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 | −2,720 79,271 owned after | $6.45 | 2020-02-24 | |
| 2020-02-20 | AHMAD SAMI Officer (CFO) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,335 64,170 owned after | $6.45 | 2020-02-24 | |
| 2020-02-15 | TANNER JOSEPH MICHAEL Officer (SVP Commercial) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,783 49,682 owned after | $6.49 | 2020-02-18 | |
| 2020-02-15 | Townsend John Richard Officer (Chief Manufacturing Officer) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,075 76,530 owned after | $6.49 | 2020-02-18 | |
| 2020-02-15 | AHMAD SAMI Officer (CFO) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,258 66,505 owned after | $6.49 | 2020-02-18 | |
| 2020-02-15 | 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 | −3,212 81,991 owned after | $6.49 | 2020-02-18 | |
| 2020-02-15 | Quarles Patrick D. Director, Officer (President and CEO) | 4 | restricted stock units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,085 179,412 owned after | $6.49 | 2020-02-18 | |
| 2020-02-13 | TANNER JOSEPH MICHAEL Officer (SVP Commercial) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,765 52,465 owned after | $6.50 | 2020-02-18 | |
| 2020-02-13 | Townsend John Richard Officer (Chief Manufacturing Officer) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,112 79,605 owned after | $6.50 | 2020-02-18 | |
| 2020-02-13 | AHMAD SAMI Officer (CFO) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,148 69,763 owned after | $6.50 | 2020-02-18 | |
| 2020-02-13 | Loggenberg Peter Matthews Officer (Chief Sustainability Officer) | 4 | restricted common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,777 85,203 owned after | $6.50 | 2020-02-18 | |
| 2020-02-13 | Quarles Patrick D. Director, Officer (President and CEO) | 4 | restricted stock units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +124,615 193,497 owned after | $6.50 | 2020-02-18 | |
| 2020-02-12 | 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 | −1,467 57,426 owned after | $0.00 | 2020-02-13 |