Statement of Changes in Beneficial Ownership (4)
March 29 2021 - 4:32PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
O'Brien Richard D |
2. Issuer Name and Ticker or Trading Symbol
TETRA TECHNOLOGIES INC
[
TTI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP-Finance & Global Controller |
(Last)
(First)
(Middle)
24955 INTERSTATE 45 N |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/26/2021 |
(Street)
THE WOODLANDS, TX 77380
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/26/2021 | | M(1) | | 11319.00 | A | $0.00 (1) | 177999.00 | D | |
Common Stock | 3/26/2021 | | M(1) | | 41161.00 | A | $0.00 (1) | 219160.00 | D | |
Common Stock | 3/26/2021 | | F(2) | | 2690.00 | D | $2.77 | 216470.00 | D | |
Common Stock | 3/26/2021 | | F(2) | | 10023.00 | D | $2.77 | 206447.00 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Common Stock | $0.00 (1) | 3/26/2021 | | M (1) | | | 41161.00 | (3) | (3) | Common Stock | 41161.00 | $0.00 (1) | 0.00 | D | |
Common Stock | $0.00 (1) | 3/26/2021 | | M (1) | | | 11319.00 | (4) | (4) | Common Stock | 11319.00 | $0.00 (1) | 22640.00 | D | |
Explanation of Responses: |
(1) | Represents vested shares of restricted stock units granted on March 26, 2019. Restricted stock units convert into common stock on a one-for-one basis. |
(2) | Reflects units surrendered to the Issuer to satisfy tax withholding obligations upon the vesting of the restricted stock unit granted on March 26, 2019. |
(3) | The inducement restricted stock unit award granted March 26, 2019 fully vested on March 26, 2021. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock upon vesting of the unit. |
(4) | The remaining unvested portion of the annual restricted stock unit award will vest every six months until fully vested on March 26, 2022. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock upon vesting of the unit. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
O'Brien Richard D 24955 INTERSTATE 45 N THE WOODLANDS, TX 77380 |
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| VP-Finance & Global Controller |
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Signatures
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Kimberly M. O'Brien, attorney in fact | | 3/29/2021 |
**Signature of Reporting Person | Date |
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