SEC Form 4/A · accession 0001209191-18-046856
URBAN ONE, INC. · UONEK
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
Peter Thompson
Officer — CFO / EVP
Period of report
Aug 15, 2018
Accepted (ET)
Aug 15, 2018 · 5:16 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 DF1 | Jun 1, 2018 | M | 75,000 | $1.41 | A | 684,175 | D | |
| Class D | Jun 1, 2018 | F | 60,315 | $2.00 | D | 623,860 | D | |
| Class DF4 | Jun 1, 2018 | J | 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 | 0 | D |
Explanation of responses
- F1This Form 4/A is being filed to add the line reporting the acquisition of 600,000 shares of Class D Common Stock upon the exercise of the reported stock option prior to disposition of the shares to the issuer in two previously reported transactions.
- F2Represents shares tendered to the issuer in payment of stock option exercise price and to satisfy withholding obligations.
- F3Represents a disposition of the shares to the issuer in exchange for cash at the fair market value of $2.00 per share on the date of repurchase by the issuer.
- F4Mr. Thompson beneficially owns a total of 609,174 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.