Amended Statement of Beneficial Ownership (3/a)
April 13 2018 - 4:36PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
FUNKE JAMES H
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/5/2017
|
3. Issuer Name
and
Ticker or Trading Symbol
TETRA TECHNOLOGIES INC [TTI]
|
(Last)
(First)
(Middle)
24955 INTERSTATE 45 N
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
VP /
|
(Street)
THE WOODLANDS, TX 77380
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
5/5/2017
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
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)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Options (Right to buy)
(1)
|
(2)
|
5/20/2018
|
Common Stock
|
35000.00
|
$21.10
|
D
|
|
Stock Options (Right to buy)
(1)
|
(3)
|
5/20/2021
|
Common Stock
|
9231.00
|
$13.00
|
D
|
|
Stock Options (Right to buy)
(1)
|
(4)
|
5/20/2024
|
Common Stock
|
9317.00
|
$11.16
|
D
|
|
Stock Options (Right to buy)
(1)
|
(5)
|
5/20/2023
|
Common Stock
|
9711.00
|
$10.30
|
D
|
|
Stock Options (Right to buy)
(1)
|
(6)
|
5/20/2020
|
Common Stock
|
9800.00
|
$10.20
|
D
|
|
Stock Options (Right to buy)
(1)
|
(7)
|
5/4/2025
|
Common Stock
|
23820.00
|
$7.15
|
D
|
|
Stock Options (Right to buy)
(1)
|
(8)
|
5/2/2026
|
Common Stock
|
24057.00
|
$7.14
|
D
|
|
Stock Options (Right to buy)
(1)
|
(9)
|
5/20/2022
|
Common Stock
|
13175.00
|
$6.81
|
D
|
|
Stock Options (Right to buy)
(1)
|
(10)
|
2/22/2027
|
Common Stock
|
44118.00
|
$4.51
|
D
|
|
Stock Options (Right to buy)
(1)
|
(11)
|
2/12/2019
|
Common Stock
|
35000.00
|
$3.78
|
D
|
|
Explanation of Responses:
|
(1)
|
This amendment is being filed to correct the Derivative holdings of the reporting person. These holdings were inadvertently omitted from the original Form 3, filed May 5, 2017.
|
(2)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. Amended and Restated 2007 Equity Incentive Compensation Plan. Twenty percent (20%) of the award vested on May 20, 2009, and the remaining stock options vested in monthly installments thereafter until May 20, 2013.
|
(3)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. 2011 Long Term Incentive Compensation Plan. One-third of the award vested on May 20, 2012, and the remaining stock options vested in monthly installments thereafter until May 20, 2014.
|
(4)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. Amended and Restated 2011 Long Term Incentive Compensation Plan. One-third of the award vested on May 20, 2015, and the remaining stock options vested in monthly installments thereafter until May 20, 2017.
|
(5)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. 2011 Amended and Restated Long Term Incentive Compensation Plan. One-third of the award vested on May 20, 2014, and the remaining stock options vested in monthly installments thereafter until May 20, 2016.
|
(6)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. 2007 Long Term Incentive Compensation Plan. One-third of the award vested on May 20, 2011, and the remaining stock options vested in monthly installments thereafter until May 20, 2013.
|
(7)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. Second Amended and Restated 2011 Long Term Incentive Compensation Plan. One-third of the award vested on May 4, 2016, and the remaining stock options will vest in monthly installments thereafter until May 4, 2018.
|
(8)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. Amended and Restated 2007 Long Term Incentive Compensation Plan. One-third of the award vested on May 2, 2017, and the remaining stock options will vest in monthly installments thereafter until May 2, 2019.
|
(9)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. 2011 Long Term Incentive Compensation Plan. One-third of the award vested on May 20, 2013, and the remaining stock options vested in monthly installments thereafter until May 20, 2015.
|
(10)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. Second Amended and Restated 2011 Long Term Incentive Compensation Plan. One-third of the award vested on February 22, 2018, and the remaining stock options will vest in monthly installments thereafter until February 22, 2020.
|
(11)
|
This stock option award was granted pursuant to the TETRA Technologies, Inc. Amended and Restated 2007 Equity Incentive Compensation Plan. Thirty-three percent (33%) of the award vested on February 12, 2010, and the remaining stock options vested in monthly installments thereafter until February 12, 2012.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
FUNKE JAMES H
24955 INTERSTATE 45 N
THE WOODLANDS, TX 77380
|
|
|
VP
|
|
Signatures
|
Kimberly M. O'Brien, attorney in fact
|
|
4/13/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
TETRA Technologies (NYSE:TTI)
Historical Stock Chart
From Mar 2024 to Apr 2024
TETRA Technologies (NYSE:TTI)
Historical Stock Chart
From Apr 2023 to Apr 2024