SEC Form 4/A · accession 0000002230-18-000026
ADAMS DIVERSIFIED EQUITY FUND, INC. · ADX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Craig R Smith
Director
Period of report
Mar 1, 2018
Accepted (ET)
Jun 1, 2018 · 4:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000002230
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 1, 2018 | J | 45 | $0.00 | A | 20,365 | D | |
| Common StockF2,F4,F3 | May 30, 2018 | S | 6,666 | $15.151 | D | 22,802 | I | By Craig Robert Smith MD REV Trust DTD 03/08/11 |
| Common StockF3 | holding | — | — | — | 15,770 | I | By Craig Robert Smith MD REV Trust DTD 03/08/11 | |
| Common Stock | holding | — | — | — | 6,667 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired in exempt transactions as a result of dividend reinvestment. The Issuer's stock traded in a range of $14.30 - $16.11 during the first quarter of 2018.
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.14 - $15.19. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of 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 range set forth in this footnote.
- F3Shares held of record by Craig Robert Smith, MD, Trustee of the Craig Robert Smith MD REV Trust DTD 3/8/11.
- F4Includes shares formerly held directly at the transfer agent that were transferred to the Craig Robert Smith MD REV Trust DTD 3/8/11 (revocable Trust) on May 15, 2018. Effective with the sale that occurred on May 30, 2018 and that was reported on May 31, 2018, Dr. Smith beneficially owns 22,802 total shares indirectly in the revocable Trust, 6,666 shares directly in a tax-deferred individual retirement account (IRA),and a 0.833 fractional share interest at the transfer agent, for a total of 29,468.833 shares.