SEC Form 4/A · accession 0001209191-16-136345
CHARLES & COLVARD LTD · CTHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ollin B Sykes
Director
Period of report
Mar 18, 2016
Accepted (ET)
Aug 10, 2016 · 5:10 pm EDT
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,F2 | Mar 18, 2016 | P | 1,552 | $1.30 | A | 591,152 | I | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment is being filed solely to correct the number of shares acquired, which was inadvertently reported on the original filing as 1,499. The number of securities reported in column five has also been adjusted to reflect this correction.
- F2Ollin 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 82,377 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.