SEC Form 4 · accession 0001185185-16-005930
Nova Lifestyle, Inc. · NVFY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thanh H Lam
Officer — President; Interim CEO · Director
Period of report
Nov 28, 2016
Accepted (ET)
Dec 12, 2016 · 6:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001473334
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 28, 2016 | S | 41,770 | $2.9508 | D | 204,633 | D | |
| Common StockF2 | Nov 29, 2016 | S | 8,230 | $2.9519 | D | 196,403 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is an average price. The shares were sold in muliple transactions ranging from $2.95 to $2.97, inclusive. The Reporting Person undertakes to provide the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4.
- F2The price reported in Column 4 is an average price. The shares reported were sold in multiple transactions ranging from $2.95 to $2.97, inclusive.