SEC Form 5 · accession 0000007039-19-000004
TRECORA RESOURCES · TREC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas Carter
Director
Period of report
Dec 31, 2018
Accepted (ET)
Feb 14, 2019 · 4:24 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 | Sep 12, 2018 | S | 10,000 | $14.07 | D | 548,487 | D | |
| Common stockF2 | Dec 20, 2018 | G | 11,300 | $0.00 | D | 538,590 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.01 to $14.40, inclusive. The reporting person undertakes to provide to Trecora Resources, any security holder of Trecora Resources, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 5.
- F2Note that the number of shares sold on 12/10/2018 by the reporting person and reported on the Form 4 filed on 12/12/2018 was inadvertently overstated by 1,403 shares. The total number of shares beneficially owned has been adjusted to reflect this overstatement.