SEC Form 4 · accession 0000899243-15-003518
Charlie's Holdings, Inc. · CHUC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent C Smith
10% Owner
Period of report
Jul 7, 2015
Accepted (ET)
Aug 18, 2015 · 9:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001134765
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 7, 2015 | P | 445,685 | $0.20 | A | 1,327,829 | I | LB 2, LLC |
| Common StockF1 | Jul 8, 2015 | P | 100,000 | $0.21 | A | 1,427,829 | I | LB 2, LLC |
| Common StockF1 | Jul 13, 2015 | P | 31,500 | $0.21 | A | 1,459,329 | I | LB 2, LLC |
| Common StockF2 | holding | — | — | — | 1,021,445 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported shares are held by LB 2. The Reporting Person is the Manager of LB 2and has sole power to vote and dispose of the Common Stock held by LB 2.
- F2The reported shares are held in an Investment Retirement Account of which the Reporting Person is the sole owner. These shares are in addition to the shares reported as being indirectly beneficially owned by the Reporting Person in the prior rows.