SEC Form 4/A · accession 0001553350-18-000391
Dolphin Entertainment, Inc. · DLPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Allan Mayer
Director
Period of report
Apr 17, 2018
Accepted (ET)
Apr 20, 2018 · 6:43 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 StockF2,F3 | Apr 17, 2018 | P | 1,000 | $2.88 | A | 357,313 | I | By Trust |
| Common StockF4,F3 | Apr 18, 2018 | P | 741 | $2.92 | A | 358,054 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2This amendment is being filed to clarify that the price reported represents the weighted average price of the shares purchased. The prices of the shares purchased in multiple transactions ranged from $2.84 to $2.90 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.
- F3These shares are held by the Mayer-Vogel Trust, of which the Reporting Person is the trustee.
- F4This amendment is being filed to clarify that the price reported represents the weighted average price of the shares purchased. The prices of the shares purchased in multiple transactions ranged from $2.90 to $2.95 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.