SEC Form 4 · accession 0000007039-18-000064
TRECORA RESOURCES · TREC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph P. Palm
Director
Period of report
Nov 7, 2018
Accepted (ET)
Nov 9, 2018 · 12:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000007039
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Nov 7, 2018 | M | 40,000 | — | A | 80,875 | D | |
| Common stockF2 | Nov 7, 2018 | F | 28,937 | $9.42 | D | 51,938 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 09/25/11 stock optionsF1 | $3.52 | Nov 7, 2018 | M | 40,000 | D | May 19, 2013 | Sep 24, 2021 | Common stock | 40,000 | 18,829 | D |
Explanation of responses
- F1Exercise of stock options granted as director compensation
- F2Withheld as payment of exercise price and for tax liability