SEC Form 4 · accession 0001144204-17-061553
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 28, 2017
Accepted (ET)
Nov 29, 2017 · 6:37 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 StockF1 | Nov 28, 2017 | P | 19,148 | $1.30 | A | 827,647 | I | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| Common Stock | Nov 29, 2017 | P | 5,000 | $1.29 | A | 832,647 | I | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| Common Stock | holding | — | — | — | 348,484 | D | ||
| Common Stock | holding | — | — | — | 100,000 | I | By SEP IRA | |
| 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 132,176 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.