UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units (1) | (2) | (2) | Common stock | 30,765 (3) | $ (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pons Rafael C/O TRECORA RESOURCES 1650 HWY 6 S, SUITE 190 SUGAR LAND, TX 77478 |
Chief Manufacturing Officer |
/s/ Michael Silberman as attorney in fact for Rafael Pons | 06/15/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This amendment is being filed to correct the number of Restricted Stock Units that were included in error in Table II in the original filing. |
(2) | One half of award vests ratably over 3 years beginning with the first anniversary date of the grant date. The remaining 50% vest at the end of three years subject to performance criteria. |
(3) | This amount includes a recalculated pro-rata adjustment (approved in connection with Mr. Pons' appointment as Chief Manufacturing Officer) to reflect the increase in the award target and base salary for his existing participation in Trecora Resources' annual long term incentive plan. |
(4) | Granted as officer compensation. Converts into common stock on a one-for-one basis. |