SEC Form 4 · accession 0001209191-17-049728
URBAN ONE, INC. · UONEK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Thompson
Officer — CFO / EVP
Period of report
Aug 7, 2017
Accepted (ET)
Aug 21, 2017 · 5:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001041657
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class D Common StockF1 | Aug 7, 2017 | A | 256,579 | $1.90 | A | 664,775 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF3,F2,F4 | $1.90 | Aug 7, 2017 | A | 114,035 | A | Aug 7, 2018 | Aug 7, 2028 | Class D | 114,035 | 778,810 | D |
Explanation of responses
- F1After the transaction, the reporting person beneficially owns a total of 664,775 shares of Class D common stock.
- F2Determined based on $1.90 closing price on August 7, 2017 and application of Black Scholes modeling factor.
- F3Options to purchase Class D common stock that will vest in increments of 33.33% over three years.
- F4After the transaction, the reporting person beneficially owns a total of 778,810 shares of Class D common stock.