SEC Form 4 · accession 0001437749-18-017459
COLLECTORS UNIVERSE INC · CLCT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph John Wallace
Officer — Chief Financial Officer
Period of report
Sep 24, 2018
Accepted (ET)
Sep 25, 2018 · 7:54 pm EDT
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 | Sep 24, 2018 | A | 7,675 | $0.00 | D | 103,835 | 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 cessation of service with the Company. The shares will cease to be subject to the risk of forfeiture (and therefore will become fully vested) as to 2,558, 2,558 and 2,559 of those shares on June 30, 2019, June 30, 2020 and June 30, 2021, respectively, provided that the reporting person is still in the service of the Company on such date.