Statement of Changes in Beneficial Ownership (4)
June 01 2022 - 5:15PM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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Ortelius Advisors, L.P. |
2. Issuer Name and Ticker or Trading Symbol
TRECORA RESOURCES
[
TREC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Former 10% owner |
(Last)
(First)
(Middle)
450 PARK AVENUE, SUITE 2700, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/27/2022 |
(Street)
NEW YORK, NY 10022
(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)
___ Form filed by One Reporting Person
_
X
_ 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 | 5/27/2022 | | S | | 2674483 | D | $9.72 | 200 | I | See footnotes (1)(2) |
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 |
Explanation of Responses: |
(1) | These shares include 2,327,824 shares disposed of by Pangaea Ventures, L.P. ("Pangaea") and 346,659 shares disposed of by Temnein Ventures III, L.P. ("Temnein"). The remaining 200 shares are held by Pangaea. |
(2) | Ortelius Advisors, L.P. (the "Adviser") is the investment manager of Pangaea and Temnein. Peter DeSorcy is the sole member of the general partner of the Adviser, and Mr. DeSorcy has a controlling interest in the Adviser. The Adviser and Mr. DeSorcy disclaim beneficial ownership of any of the shares of common stock owned by Pangaea and Temnein, except to the extent of their pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ortelius Advisors, L.P. 450 PARK AVENUE, SUITE 2700 NEW YORK, NY 10022 |
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| Former 10% owner |
Pangaea Ventures, L.P. 450 PARK AVENUE SUITE 2700 NEW YORK, NY 10022 |
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| Former 10% owner |
Temnein Ventures III, L.P. 450 PARK AVENUE, SUITE 2700 NEW YORK, NY 10022 |
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| Former 10% owner |
DeSorcy Peter 450 PARK AVENUE, SUITE 2700 NEW YORK, NY 10022 |
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| Former 10% owner |
Signatures
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ORTELIUS ADVISORS, L.P. By: Ortelius Management, LLC, its general partner By: /s/ Peter DeSorcy Name: Peter DeSorcy Title: Managing Member | | 6/1/2022 |
**Signature of Reporting Person | Date |
PANGAEA VENTURES, L.P. By: Ortelius Advisors GP I, LLC, its general partner By: /s/ Peter DeSorcy Name: Peter DeSorcy Title: Managing Member | | 6/1/2022 |
**Signature of Reporting Person | Date |
TEMNEIN VENTURES III, L.P. By: Temnein Advisors GP III, LLC, its general partner By: /s/ Peter DeSorcy Name: Peter DeSorcy Title: Managing Member | | 6/1/2022 |
**Signature of Reporting Person | Date |
/s/ Peter DeSorcy | | 6/1/2022 |
**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 4(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. |
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