SEC Form 5 · accession 0001209191-18-010817
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
Dec 31, 2017
Accepted (ET)
Feb 16, 2018 · 4:10 pm EST
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 | Jan 5, 2018 | A | 270,833 | $1.70 | A | 1,049,643 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF2,F3 | $1.70 | Jan 5, 2018 | A | 127,451 | A | Jan 5, 2019 | Jan 5, 2028 | Class D | 127,451 | 1,177,094 | D |
Explanation of responses
- F1After the transaction, the reporting person beneficially owns a total of 1,049,643 shares of Class D common stock
- F2Options to purchase Class D common stock that will vest 100% on January 5, 2019.
- F3After the transaction, the reporting person beneficially owns a total of 1,177,094 shares of Class D common stock.