SEC Form 4 · accession 0001140361-17-028343
Peak Resorts Inc · SKIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CAP 1 LLC
10% Owner
Period of report
Jul 18, 2017
Accepted (ET)
Jul 20, 2017 · 9:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001517401
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 18, 2017 | P | 152,400 | $4.82 | A | 1,416,013 | D | |
| Common StockF2 | Jul 19, 2017 | P | 165,000 | $5.35 | A | 1,581,013 | D | |
| Common StockF3,F5 | Jul 18, 2017 | P | 39,900 | $4.96 | A | 39,900 | I | By David Sackler |
| Common StockF4,F5 | Jul 19, 2017 | P | 60,100 | $5.34 | A | 100,000 | I | By David Sackler |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.55 to $5.00, inclusive. The reporting person undertakes to provide to Peak Resorts Inc., any security holder of Peak Resorts Inc., 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) , (2), (3) and (4) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.65 to $5.50, inclusive.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.60 to $5.10, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.95 to $5.50, inclusive.
- F5These shares were purchased by David Sackler, the president of Summer Road LLC and one of the beneficiaries of Cap 1 LLC. Cap 1 LLC is a family client of Summer Road LLC. David Sackler disclaims beneficial ownership of common stock held by Cap 1 LLC except to the interest of his pecuniary interest therein.