SEC Form 4 · accession 0001654954-17-008195
Dolphin Entertainment, Inc. · DLPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allan Mayer
Director
Period of report
Aug 12, 2017
Accepted (ET)
Sep 6, 2017 · 5:58 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 StockF1 | Aug 12, 2017 | X | 21,691 | $4.61 | D | 309,733 | 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) | $4.61 | Aug 12, 2017 | X | 21,691 | D | Aug 8, 2017 | Aug 18, 2017 | Common Stock | 21,691 | 634,493 | D |
Explanation of responses
- F1These shares are held by the Vogel-Mayer Trust, of which the Reporting Person is the trustee.