Statement of Changes in Beneficial Ownership (4)
13 October 2020 - 9:05PM
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)
9/27/2020 |
|
(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 | 9/27/2020 | | A(1) | | 4773 | A | $0 | 55866 | 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) | Grant of restricted shares that are subject to forfeiture in the event of cessation of service with the Company. The shares will cease to be subject to the risk of forfeiture (and therefore will become fully vested) as to 1,591 of those shares on June 30, 2021, June 30, 2022 and June 30, 2023, respectively, provided that the reporting person is still in the service of the Company on such dates. |
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 | | 10/13/2020 |
| **Signature of Reporting Person | Date |
Collectors Universe (NASDAQ:CLCT)
Historical Stock Chart
From Jun 2024 to Jul 2024
Collectors Universe (NASDAQ:CLCT)
Historical Stock Chart
From Jul 2023 to Jul 2024
Real-Time news about Collectors Universe Inc (NASDAQ): 0 recent articles
More Collectors Universe Inc News Articles