SEC Form 4 · accession 0001144204-17-058473
CHARLES & COLVARD LTD · CTHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ollin B Sykes
Director
Period of report
Nov 10, 2017
Accepted (ET)
Nov 13, 2017 · 5:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001015155
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2017 | P | 1,600 | $1.05 | A | 93,986 | I | By SEP IRA |
| Common Stock | Nov 10, 2017 | P | 600 | $1.069 | A | 94,586 | I | By SEP IRA |
| Common Stock | Nov 10, 2017 | P | 1,917 | $1.07 | A | 96,503 | I | By SEP IRA |
| Common Stock | Nov 13, 2017 | P | 3,497 | $1.12 | A | 100,000 | I | By SEP IRA |
| Common Stock | holding | — | — | — | 348,484 | D | ||
| Common StockF1 | holding | — | — | — | 795,700 | I | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 | |
| Common Stock | holding | — | — | — | 35,787 | I | By spouse | |
| Common StockF2 | holding | — | — | — | 918 | I | By Sykesco Investment Partners | |
| Common Stock | holding | — | — | — | 17,323 | I | By ROTH IRA | |
| Common Stock | holding | — | — | — | 17,096 | I | By IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Ollin Sykes is the trustee of the Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985. The aggregate shares of the Issuer's common stock reported as held by the plan include 119,377 shares held in Mr. Sykes's personal 401(k) account under the plan. Mr. Sykes disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F2Mr. Sykes is a partner within this investment partnership and has shared voting and investment power over these shares.