TREX WIND-DOWN, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows, 12 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-03-04: Reporting owner Rome Zachary; Form 4; Security Value Appreciation Rights; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-04: Reporting owner Rome Zachary; Form 4; Security Value Appreciation Rights; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-05-18: Reporting owner Rome Zachary; Form 4; Security Value Appreciation Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-05-18: Reporting owner Koconis John; Form 4; Security Value Appreciation Rights; 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 |
|---|---|---|---|---|---|---|---|---|
| 2022-03-04 | Rome Zachary Director | 4 | Value Appreciation Rights Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,884 79,326 owned after | $0.01 exercise price | 2022-04-15 | |
| 2022-03-04 | Rome Zachary Director | 4 | Value Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +79,326 0 owned after | $0.01 exercise price | 2022-04-15 | |
| 2020-05-18 | Rome Zachary Director, Officer (Executive VP, COO and Sec.) | 4 | Value Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +132,209 132,209 owned after | $0.01 exercise price | 2020-05-20 | |
| 2020-05-18 | Koconis John Director, Officer (Chief Executive Officer) | 4 | Value Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +209,646 209,646 owned after | $0.01 exercise price | 2020-05-20 | |
| 2020-05-18 | Tavakkol Amir Officer (Chief Scientific Officer) | 4 | Value Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,184 8,184 owned after | $0.01 exercise price | 2020-05-20 | |
| 2019-07-18 holding as of filing | Bosacki Steven Officer (Chief Operating Officer) | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2019-07-18 | |
| 2019-02-21 holding as of filing | Plott Ronald Todd Director | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2019-02-21 | |
| 2018-09-13 holding as of filing | Tierney David S Director, Officer (CEO) | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2018-09-13 | |
| 2017-01-20 holding as of filing | VONTZ CHARLES GREGORY Director | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2017-01-20 | |
| 2016-01-27 holding as of filing | Barbarosh Craig A. Director | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2016-01-27 | |
| 2015-08-12 holding as of filing | Kitchener Gregory David Officer (CFO) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2015-08-12 | |
| 2015-02-13 holding as of filing | Hubbard Michael Director | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2015-02-13 |