Key facts
- This page summarizes Nicholas Carter's Form 5 filing for TRECORA RESOURCES.
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 29 Apr 2022, 17:00.
Nicholas Carter - 31 Dec 2021 Form 5 Insider Report for TRECORA RESOURCES
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 31 Dec 2021
- Net transaction value
- $0
- SEC form
- 5
- Accepted by SEC
- 29 Apr 2022, 17:00:09 UTC
- Prior SEC filing
- 20 May 2021
- Next SEC filing
- 14 Feb 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Christopher Groves as attorney in fact for Nicholas Carter
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Nicholas Carter filed Form 5 for TRECORA RESOURCES on 29 Apr 2022.
Change
- Previous filing in this sequence was filed on 20 May 2021.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Official SEC source
View source filing
Ownership activity is grounded in SEC Form 5 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
TREC
transaction
Common stock
Options Exercise
- Transaction value
- Shares
- +11,567
- Change %
- +2.7%
- Price
- Shares after
- 438,408
- Date
- 09 Feb 2019
- Ownership
- Direct
- Footnotes
- F1
TREC
transaction
Common stock
Gift
- Transaction value
- $0
- Shares
- -39,000
- Change %
- -8.9%
- Price
- $0.000000
- Shares after
- 400,811
- Date
- 03 Dec 2019
- Ownership
- Direct
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
TREC
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -11,567
- Change %
- -52%
- Price
- $0.000000
- Shares after
- 10,533
- Date
- 09 Feb 2019
- Ownership
- Direct
- Underlying class
- Common stock
- Underlying amount
- 11,567
- Exercise price
- Footnotes
- F1, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
Granted as officer compensation. Converts into common stock on a one-for-one basis.
Footnote 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.
Footnote 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.