SEC Form 3 · accession 0001654954-17-006282
Dolphin Entertainment, Inc. · DLPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Justo L. Pozo
Director · 10% Owner
Period of report
Jun 29, 2017
Accepted (ET)
Jul 10, 2017 · 8:38 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 Stock | holding | — | — | — | 52,931 | D | ||
| Common StockF1 | holding | — | — | — | 1,017,738 | I | By Limited Liability Company | |
| Common StockF2 | holding | — | — | — | 684,230 | I | By Limited Liability Company | |
| Common StockF3 | holding | — | — | — | 673,890 | I | By Limited Liability Company | |
| Common StockF4 | holding | — | — | — | 1,875 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are held by Pozo Opportunity Fund I, LLC, an entity in which the Reporting Person has a controlling interest.
- F2These shares are held by Pozo Opportunity Fund II, LLC, an entity in which the Reporting Person has a controlling interest.
- F3These shares are held by Pozo Capital Partners, LLC, an entity in which the Reporting Person has a controlling interest.
- F4These shares are held by the Zulita Pina Irrevocable Trust, of which the Reporting Person is the trustee.