SEC Form 4 · accession 0001140361-16-056076
TRECORA RESOURCES · TREC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Connie Cook
Officer — Secretary/Treasurer/CFO
Period of report
Mar 1, 2016
Accepted (ET)
Mar 2, 2016 · 4:43 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 stock | Mar 1, 2016 | C | 5,000 | $2.21 | A | 39,970 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 01/28/10 stock optionsF1 | $2.21 | Mar 1, 2016 | X | 5,000 | D | Jan 28, 2011 | Jan 27, 2017 | common stock | 5,000 | 112,012 | D |
| restricted common stockF1,F2 | — | Mar 1, 2016 | A | 15,974 | A | Feb 28, 2017 | Mar 1, 2019 | common stock | 15,974 | 127,986 | D |
Explanation of responses
- F1Granted as officer compensation
- F250% of award vests over 3 years ratably, 50% of award vests based upon performance conditions at the end of the third year