SEC Form 4 · accession 0001553350-18-001342
Dolphin Entertainment, Inc. · DLPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan Mayer
Director
Period of report
Aug 10, 2018
Accepted (ET)
Dec 13, 2018 · 4:22 pm EST
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 | Aug 10, 2018 | X | 10,846 | $9.22 | D | 363,523 | I | By Trust |
| Common StockF1 | Sep 21, 2018 | X | 6,779 | $9.22 | D | 356,744 | I | By Trust |
| Common StockF1 | Dec 11, 2018 | X | 16,269 | $9.22 | D | 340,475 | 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 | Aug 10, 2018 | X | 10,846 | D | Aug 10, 2018 | Aug 20, 2018 | Common Stock | 10,846 | 219,633 | D |
| Put Option (right to sell) | $9.22 | Sep 21, 2018 | X | 6,779 | D | Sep 20, 2018 | Sep 30, 2018 | Common Stock | 6,779 | 212,854 | D |
| Put Option (right to sell) | $9.22 | Dec 11, 2018 | X | 16,269 | D | Dec 10, 2018 | Dec 20, 2018 | Common Stock | 16,269 | 196,585 | D |
Explanation of responses
- F1These shares are held by the Vogel-Mayer Trust, of which the Reporting Person is the trustee.