SEC Form 4 · accession 0001140361-18-009248
TRECORA RESOURCES · TREC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas Carter
Officer — Chairman · Director
Period of report
Feb 9, 2018
Accepted (ET)
Feb 21, 2018 · 12:48 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,F2 | Feb 9, 2018 | M | 11,566 | — | A | 487,536 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| restricted stock unitsF2,F1 | — | Feb 9, 2018 | M | 11,566 | D | — | — | common stock | 11,566 | 290,597 | D |
Explanation of responses
- F1Vesting of 1/4 of time vested restricted stock units which were granted on 02/10/15 and vest in 4 equal installments beginning on the first anniversary of the grant date.
- F2Granted as officer compensation. Converts into common stock on a one-for-one basis.