SEC Form 4 · accession 0001209191-18-036345
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
Jun 1, 2018
Accepted (ET)
Jun 7, 2018 · 4:23 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 Stock | Jun 1, 2018 | F | 60,315 | $2.00 | D | 623,860 | D | |
| Class D Common StockF3 | Jun 1, 2018 | M | 14,685 | $2.00 | D | 609,175 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options | $1.41 | Jun 1, 2018 | M | 75,000 | D | Jun 5, 2008 | Jun 5, 2018 | Class D Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1The transactions reported above in Table I reflect the cashless exercise of stock options. The cashless exercise for the options is reported in two lines. The first line of the cashless exercise transaction is coded M in column 3 of Table I and reports in column 4, the number of the shares issuable upon exercise of the options had cash been paid to exercise the options, together with the exercise price with Code A for acquired. The line Coded F in in column 3 of Table I relates to the same cashless exercise on the preceding line and reports in Column 4 the number of shares deducted from the total number of shares issuable to pay for the cashless exercise of such options with Code D for disposed.
- F2CONTINUED: The transactions reported in Table II above, reflect the disposition of the same stock options whose cashless exercise is disclosed in Table I above. The number of derivative securities owned after the transactions reported in column 9 of Table II above include only stock options, of which there were none.
- F3Mr. Thompson beneficially owns a total of 609,175 shares of Class D common stock, including 339,035 shares of Class D common stock obtainable upon the exercise of stock options. More information on Mr. Thompson's ownership is included in our most recent proxy filed April 30, 2018.