Statement of Changes in Beneficial Ownership (4)
11 December 2021 - 7:22AM
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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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
*
BENJAMIN JEFFREY D |
2. Issuer Name and Ticker or Trading Symbol
A-Mark Precious Metals, Inc.
[
AMRK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2121 ROSECRANS AVE, SUITE 6300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/8/2021 |
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(Street)
EL SEGUNDO, CA 90245
(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, par value $0.01 per share | 12/8/2021 | | M | | 5000 | A | $3.34 | 501219 | D | |
| Common Stock, par value $0.01 per share | 12/8/2021 | | S | | 5000 | D | $66.46 (1) | 496219 | D | |
| Common Stock, par value $0.01 per share | 12/9/2021 | | M | | 1847 | A | $3.34 | 498066 | D | |
| Common Stock, par value $0.01 per share | 12/9/2021 | | S | | 1847 | D | $66.3815 (2) | 496219 | D | |
| Common Stock, par value $0.01 per share | | | | | | | | 250000 | I | by the Jeffrey D. Benjamin 2012 Family Trust (3) |
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 |
| Stock Option (Right to Buy) | $3.34 | 12/8/2021 | | M | | | 5000 | (4) | 10/24/2022 | Common Stock, par value $0.01 per share | 5000 | $0.00 | 109856 | D | |
| Stock Option (Right to Buy) | $3.34 | 12/9/2021 | | M | | | 1847 | (4) | 10/24/2022 | Common Stock, par value $0.01 per share | 1847 | $0.00 | 108009 | D | |
| Explanation of Responses: |
| (1) | The price reported is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from not less than $66.16 to not more than $66.67. The reporting person undertakes to provide to A-Mark Precious Metals, Inc. ("A-Mark"), any security holder of A-Mark, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form. |
| (2) | The price reported is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from not less than $66.04 to not more than $66.59. The reporting person undertakes to provide to A-Mark Precious Metals, Inc. ("A-Mark"), any security holder of A-Mark, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form. |
| (3) | These shares are held in a trust for the benefit of the reporting person's spouse and children. Neither the reporting person nor his spouse is the trustee. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| (4) | The option granted covered 119,856 shares, and vested 20.0% on March 19, 2014, and 20% per year on October 25, 2014, 2015, 2016 and 2017. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BENJAMIN JEFFREY D
2121 ROSECRANS AVE
SUITE 6300
EL SEGUNDO, CA 90245 | X | X |
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Signatures
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| /s/ Carol Meltzer, by power of attorney | | 12/10/2021 |
| **Signature of Reporting Person | Date |
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