Nicholas Carter - Dec 31, 2021 Form 5 Insider Report for TRECORA RESOURCES (TREC)

Role
Director
Signature
/s/ Christopher Groves as attorney in fact for Nicholas Carter
Stock symbol
TREC
Transactions as of
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
4/29/2022, 05:00 PM
Previous filing
May 20, 2021
Next filing
Feb 14, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TREC Common stock Options Exercise +11.6K +2.71% 438K Feb 9, 2019 Direct F1
transaction TREC Common stock Gift $0 -39K -8.87% $0.00 401K Dec 3, 2019 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction TREC Restricted Stock Units Options Exercise $0 -11.6K -52.34% $0.00 10.5K Feb 9, 2019 Common stock 11.6K Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Granted as officer compensation. Converts into common stock on a one-for-one basis.
F2 Note that the number of shares sold on December 10, 2018 by the reporting person and reported on the Form 4 filed on December 12, 2018 was inadvertently overstated by 1,403 shares. The total number of shares beneficially owned has been adjusted to reflect this overstatement.
F3 The recipient received a grant of 46,265 Restricted Stock Units on February 9, 2015, which vested in four equal installments beginning on the first anniversary of the grant date.