SEC Form 4 · accession 0001144204-18-058830
CHARLES & COLVARD LTD · CTHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jaqui Lividini
Director
Period of report
Nov 8, 2018
Accepted (ET)
Nov 9, 2018 · 5:20 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 | holding | — | — | — | 15,100 | I | By IRA | |
| Common StockF1 | holding | — | — | — | 2,800 | I | By parents |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $0.9999 | Nov 8, 2018 | A | 50,005 | A | Nov 8, 2019 | Nov 8, 2028 | Common stock | 50,005 | 50,005 | D |
Explanation of responses
- F1Jaqui Lividini has power of attorney over her parents' brokerage account. Ms. Lividini disclaims beneficial ownership of the shares held in her parents' brokerage account, and this report should not be deemed an admission that Ms. Lividini is the beneficial owner of her parents' shares for purposes of Section 16 or for any other purpose.
- F2Option vests and becomes exercisable on the date of the 2019 Annual Shareholders' Meeting.