SEC Form 4 · accession 0001437749-17-021251
COLLECTORS UNIVERSE INC · CLCT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J Orlando
Officer — CEO · Director
Period of report
Dec 26, 2017
Accepted (ET)
Dec 28, 2017 · 4:30 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 | Dec 26, 2017 | A | 12,654 | $0.00 | A | 40,779 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted shares that are subject to forfeiture in the event of a cessation of service with the Company. The shares will cease to be subject to the risk of forfeiture (and, therefore, will become vested) as to 5,272, 5,272 and 2,110 of those shares on June 30, 2018, June 30, 2019, and June 30, 2020, respectively, provided that the reporting person is still in the service of the Company on such date.