SEC Form 4 · accession 0001553350-18-001397
Dolphin Entertainment, Inc. · DLPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William O'Dowd IV
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Dec 28, 2018
Accepted (ET)
Dec 31, 2018 · 9:24 am 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,F2 | Dec 28, 2018 | P | 14,990 | $1.334 | A | 542,831 | I | By Dolphin Entertainment, LLC |
| Common StockF2 | holding | — | — | — | 565,450 | D | ||
| Common StockF2,F3 | holding | — | — | — | 621,052 | I | By Dolphin Digital Media Holdings, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were purchased by Dolphin Entertainment, LLC in a private transaction.
- F2Dolphin Entertainment, LLC is an entity wholly owned by William O'Dowd IV.
- F3Dolphin Digital Media Holdings LLC is an entity wholly owned by William O'Dowd IV.