Carter Nicholas's Form 4 filing
Trecora Resources (TREC) · filed Jun 28, 2022
- Accession no.
- 0000007039-22-000079
- Filed
- Jun 28, 2022
- Trade date
- Jan 15, 2020-Jun 27, 2022
- Filing delay
- 895 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $35.5K. It was filed 895 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Carter NicholasCIK 0001364279 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 15, 2020 | Common stock | SSaleDisposed | −5,000 | $7.10 | −$35,500 | 408,892 | Direct | |
| Mar 19, 2021 | Common stock | GGiftDisposed | −1,925 | $0.00 | $0 | 406,967 | Direct | |
| Mar 23, 2021 | Common stock | GGiftDisposed | −13,025 | $0.00 | $0 | 393,942 | Direct | |
| Jun 24, 2022 | Common stock | ULess common codeDisposed | −393,942 | $9.81 | −$3,864,571.02 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 27, 2022 | Common stock | DReturned to the companyDisposed | −150,000 | $0.00F3 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
Pursuant to the Merger Agreement, this option (which was full vested) was cancelled immediately prior to the Effective Time without any consideration payable therefor.
Referenced by the price of 1 transaction in Table II.