SEC Form 4 · accession 0001553350-18-000411
Dolphin Entertainment, Inc. · DLPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan Mayer
Director
Period of report
Apr 24, 2018
Accepted (ET)
Apr 25, 2018 · 7:51 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 24, 2018 | P | 1,985 | $2.95 | A | 362,404 | I | By Trust |
| Common StockF4,F3 | Apr 25, 2018 | P | 900 | $3.39 | A | 363,304 | 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.
- F2The price reported represents the weighted average price of the shares purchased. The prices of the shares purchased in multiple transactions ranged from $2.88 to $3.04 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.
- F4The price reported represents the weighted average price of the shares purchased. The prices of the shares purchased in multiple transactions ranged from $3.32 to $3.46 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.