SEC Form 4 · accession 0001553350-18-000386
Dolphin Entertainment, Inc. · DLPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan Mayer
Director
Period of report
Mar 11, 2018
Accepted (ET)
Apr 19, 2018 · 9:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001282224
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 11, 2018 | X | 48,806 | $9.22 | D | 364,447 | I | By Trust |
| Common StockF1 | Mar 21, 2018 | X | 8,134 | $9.22 | D | 356,313 | I | By Trust |
| Common StockF1 | Apr 17, 2018 | P | 1,000 | $2.88 | A | 357,313 | I | By Trust |
| Common StockF1 | Apr 18, 2018 | P | 741 | $2.92 | A | 358,054 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Put Option (right to sell) | $9.22 | Mar 11, 2018 | X | 48,806 | D | Mar 11, 2018 | Mar 21, 2018 | Common Stock | 48,806 | 566,707 | D |
| Put Option (right to sell) | $9.22 | Mar 21, 2018 | X | 8,134 | D | Mar 21, 2018 | Mar 31, 2018 | Common Stock | 8,134 | 558,573 | D |
Explanation of responses
- F1These shares are held by the Mayer-Vogel Trust, of which the Reporting Person is the trustee.
- F2The purchases reported in this Form 4 were effected pursuant to a pre-arranged, non-discretionary trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.