SEC Form 4 · accession 0001437749-17-020337
COLLECTORS UNIVERSE INC · CLCT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A Clinton Allen
Director
Period of report
Dec 5, 2017
Accepted (ET)
Dec 7, 2017 · 4:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001089143
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 14, 2017 | G | 100 | $0.00 | D | 139,116 | D | |
| Common Stock | Oct 12, 2017 | G | 2,475 | $0.00 | D | 136,641 | D | |
| Common Stock | Oct 13, 2017 | G | 475 | $0.00 | D | 136,166 | D | |
| Common Stock | Oct 19, 2017 | G | 350 | $0.00 | D | 135,816 | D | |
| Common Stock | Nov 21, 2017 | G | 200 | $0.00 | D | 135,616 | D | |
| Common Stock | Nov 30, 2017 | G | 3,000 | $0.00 | D | 132,616 | D | |
| Common StockF2,F3 | Dec 5, 2017 | A | 1,555 | $0.00 | A | 134,171 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 4,404 shares acquired under the Company's Dividend Reinvestment Plan.
- F2Grant of restricted shares that are subject to forfeiture in the event of a cessation of service with the Company prior to vesting. The shares will cease to be subject to the risk of forfeiture (and, therefore, will become vested) as to 388, 389, 389 and 389 of those shares on March 5, 2018, June 5, 2018, September 5, 2018 and December 5, 2018, respectively, provided that the reporting person is still in the service of the Company on such date.
- F3Includes 5,947 shares owned by Mr. Allen's spouse. The undersigned reporting person does not have any pecuniary interest in and disclaims beneficial ownership of those shares.