Statement of Changes in Beneficial Ownership (4)
09 2월 2021 - 7:01AM
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
|
OMB APPROVAL
OMB Number:
3235-0287
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
*
Orlando Joseph J |
2. Issuer Name and Ticker or Trading Symbol
COLLECTORS UNIVERSE INC
[
CLCT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
C/O COLLECTORS UNIVERSE, INC., P.O. BOX 6280 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/6/2021 |
(Street)
NEWPORT BEACH,, CA 92658
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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, par value $0.001 per share | 2/6/2021 | | M(1) | | 49208 | A | $0.00 | 94337 | D | |
Common Stock, par value $0.001 per share | 2/6/2021 | | U | | 94337 | D | $92.00 | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | Acquired upon the vesting of performance-contingent restricted stock units granted by the issuer to the reporting person under an Equity Incentive Plan of the issuer adopted in accordance with Rule 16(b)(3) under the Securities Exchange Act of 1934, as amended. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Orlando Joseph J C/O COLLECTORS UNIVERSE, INC. P.O. BOX 6280 NEWPORT BEACH,, CA 92658 | X |
| President & CEO |
|
Signatures
|
/s/ Joseph J. Orlando | | 2/8/2021 |
**Signature of Reporting Person | Date |
Collectors Universe (NASDAQ:CLCT)
과거 데이터 주식 차트
부터 1월(1) 2025 으로 2월(2) 2025
Collectors Universe (NASDAQ:CLCT)
과거 데이터 주식 차트
부터 2월(2) 2024 으로 2월(2) 2025
Collectors Universe Inc (나스닥)의 실시간 뉴스: 최근 기사 0
More Collectors Universe Inc News Articles