Sec Form 3 Filing - Boston Shoemake Alicia r @ TETRA TECHNOLOGIES INC - 2021-07-29

Insider filing report for Changes in Beneficial Ownership
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FORM 3
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Boston Shoemake Alicia r
2. Issuer Name and Ticker or Trading Symbol
TETRA TECHNOLOGIES INC [ TTI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
General Counsel
(Last) (First) (Middle)
24955 INTERSTATE 45 NORTH
3. Date of Earliest Transaction (MM/DD/YY)
07/29/2021
(Street)
THE WOODLANDS, TX77380
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 40,943 D
Common Stock 2,441 I by Spouse
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Incentive Stock Option (Right to Buy) $ 11.16 05/20/2015( 1 ) 05/02/2024 Common Stock 5,200 D
Incentive Stock Option (Right to Buy) $ 10.3 05/20/2014( 2 ) 05/20/2023 Common Stock 4,800 D
Incentive Stock Option (Right to Buy) $ 7.15 05/04/2016( 3 ) 05/04/2025 Common Stock 4,495 D
Incentive Stock Option (Right to Buy) $ 7.14 05/02/2017( 4 ) 05/02/2026 Common Stock 6,142 D
Incentive Stock Option (Right to Buy) $ 6.81 05/20/2013( 5 ) 05/20/2022 Common Stock 3,285 D
Incentive Stock Option (Right to Buy) $ 4.51 02/22/2018( 6 ) 02/22/2027 Common Stock 2,451 I By Spouse
Incentive Stock Option (Right to Buy) $ 3.87 02/22/2019( 7 ) 02/22/2028 Common Stock 13,115 D
Incentive Stock Option (Right to Buy) $ 3.87 02/22/2019( 7 ) 02/22/2028 Common Stock 3,281 I By Spouse
Restricted Stock Unit $ 0 ( 8 ) ( 9 ) ( 9 ) Common Stock 4,772 D
Restricted Stock Unit $ 0 ( 10 ) ( 11 ) ( 11 ) Common Stock 10,812 D
Restricted Stock Unit $ 0 ( 12 ) ( 13 ) ( 13 ) Common Stock 20,716 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Boston Shoemake Alicia r
24955 INTERSTATE 45 NORTH
THE WOODLANDS, TX77380
General Counsel
Signatures
Kimberly M. O'Brien, attorney in fact 08/04/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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, 2015, and the remaining stock options ves ted in monthly installments thereafter until May 20, 2017.
( 10 )Each restricted stock unit ("RSU") represents the contingent right to receive one share of Issuer's common stock upon vesting of the unit. The closing price of the Issuer's common stock on the date of this RSU award was $1.42.
( 11 )The RSU was granted pursuant to the TETRA Technologies, Inc. 2018 Equity Incentive Plan. One-third of the award vested on February 20, 2021, and one-sixth at the completion of each six-month period thereafter until February 20, 2023, subject to continued service with the Issuer on each respective vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash, or a combination of shares and cash, in the Issuer's sole discretion.
( 12 )Each restricted stock unit ("RSU") represents the contingent right to receive one share of Issuer's common stock upon vesting of the unit. The closing price of the Issuer's common stock on the date of this RSU award was $2.63.
( 13 )The RSU was granted pursuant to the TETRA Technologies, Inc. 2018 Equity Incentive Plan. One-third of the award will vest on February 17, 2022, and one-sixth at the completion of each six-month period thereafter until February 17, 2024, subject to continued service with the Issuer on each respective vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash, or a combination of shares and cash, in the Issuer's sole discretion.
( 2 )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.
( 3 )This stock option award was granted pursuant to the TETRA Technologies, Inc. 2011 Second Amended and Restated Long Term Incentive Compensation Plan. One-third of the award vested on May 4, 2016, and the remaining stock options vested in monthly installments thereafter until May 4, 2018.
( 4 )This stock option award was granted pursuant to the TETRA Technologies, Inc. 2011 Second Amended and Restated Long Term Incentive Compensation Plan. One-third of the award vested on May 2, 2017, and the remaining stock options vested in monthly installments thereafter until May 2, 2019.
( 5 )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.
( 6 )This stock option award was granted pursuant to the TETRA Technologies, Inc. 2011 Third Amended and Restated Long Term Incentive Compensation Plan. One-third of the award vested on February 22, 2018, and the remaining stock options vested in monthly installments thereafter until February 22, 2020.
( 7 )This stock option award was granted pursuant to the TETRA Technologies, Inc. 2011 Third Amended and Restated Long Term Incentive Compensation Plan. One-third of the award vested on February 22, 2019, and the remaining stock options vested in monthly installments thereafter until February 22, 2021.
( 8 )Each restricted stock unit ("RSU") represents the contingent right to receive one share of Issuer's common stock upon vesting of the unit. The closing price of the Issuer's common stock on the date of this RSU award was $2.50.
( 9 )The RSU was granted pursuant to the TETRA Technologies, Inc. 2018 Equity Incentive Plan. One-third of the award vested on February 21, 2020, and one-sixth at the completion of each six-month period thereafter until February 21, 2022, subject to continued service with the Issuer on each respective vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash, or a combination of shares and cash, in the Issuer's sole discretion.

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