SEC Form 4 · accession 0001553350-17-001080
ASPEN GROUP, INC. · ASPU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Malcolm F MacLean IV
Director
Period of report
Oct 2, 2017
Accepted (ET)
Oct 3, 2017 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001487198
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 2, 2017 | A | 1,000 | $6.24 | A | 623,964 | I | See footnote |
| Common StockF1,F3 | Oct 2, 2017 | A | 800 | $6.24 | A | 624,764 | I | See footnote |
| Common StockF1,F3 | Oct 2, 2017 | A | 700 | $6.25 | A | 625,464 | I | See footnote |
| Common StockF1,F3 | Oct 2, 2017 | A | 500 | $6.28 | A | 625,964 | I | See footnote |
| Common StockF1,F3 | Oct 2, 2017 | A | 100 | $6.27 | A | 626,064 | I | See footnote |
| Common StockF1,F3 | Oct 2, 2017 | A | 400 | $6.30 | A | 626,464 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes (i) 8,166 shares held jointly with spouse, (ii) 95,833 shares held by Starfish Partners LLC which Mr. MacLean indirectly controls, (iii) 250,000 shares held by Taurus Capital Partners LLC of which Mr. MacLean is the Managing Member, (iv) 18,938 shares held as custodian for the benefit of Mr. MacLean's children, (v) 136,611 shares held in the name of his IRA, (vi) 27,083 shares held in trust, (vii) 7,333 shares held in spouse's IRA, and (viii) 82,500 shares held in Mr. MacLean's company defined benefit plan.
- F2Owned by reporting person's IRA.
- F3Owned by reporting person's company defined benefit plan.