0001437749-21-013258.txt : 20210525 0001437749-21-013258.hdr.sgml : 20210525 20210525151002 ACCESSION NUMBER: 0001437749-21-013258 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210521 FILED AS OF DATE: 20210525 DATE AS OF CHANGE: 20210525 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOPKER PAMELA M CENTRAL INDEX KEY: 0001102753 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35013 FILM NUMBER: 21959975 MAIL ADDRESS: STREET 1: 100 INNOVATION PLACE CITY: SANTA BARBARA STATE: CA ZIP: 93108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: QAD INC CENTRAL INDEX KEY: 0001036188 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770105228 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 100 INNOVATION PLACE CITY: SANTA BARBARA STATE: CA ZIP: 93108 BUSINESS PHONE: 8055666000 MAIL ADDRESS: STREET 1: 100 INNOVATION PLACE CITY: SANTA BARBARA STATE: CA ZIP: 93108 4 1 rdgdoc.xml FORM 4 X0306 4 2021-05-21 0001036188 QAD INC QADA_QADB 0001102753 LOPKER PAMELA M 100 INNOVATION PLACE SANTA BARBARA CA 93108 1 1 1 President Class A Common Stock 2021-05-21 4 A 0 22000 0 A 4265896 D Class A Common Stock 156206 D Class A Common Stock 634982 I Estate of Karl F. Lopker Performance Stock Units 0 2021-05-21 4 A 0 22000 0 A Class A Common Stock 22000 22000 D Grant of restricted stock units ("RSUs") that are common stock equivalents and may be settled solely in shares of the issuer's Class A Common Stock. RSUs vest one-quarter per year on the anniversary date of the grant over four years. Represents a grant of performance stock units ("PSUs") to acquire the issuer's Class A common stock. The PSUs vest one-third per year on the anniversary date of the grant over three years, subject to the satisfaction of a two-factor performance-related milestone. The number of shares reflected is the target number of shares which may be acquired in the aggregate by the reporting person. The actual number of shares that may ultimately be delivered ranges from zero to 44,000. See footnote 3. PSUs have no exercise date. Not applicable. /s/ Mark Rasmussen, Attorney in Fact for Pamela M. Lopker 2021-05-25