Statement of Changes in Beneficial Ownership (4)
December 16 2020 - 4:46PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Orlando Joseph J |
2. Issuer Name and Ticker or Trading Symbol
COLLECTORS UNIVERSE INC
[
CLCT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
C/O COLLECTORS UNIVERSE, INC., P.O. BOX 6280 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/10/2020 |
(Street)
NEWPORT BEACH,, CA 92658
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/10/2020 | | M(1) | | 11376 | A | $0 | 67242 | D | |
Common Stock | 12/10/2020 | | D(2) | | 22113 | D | $75.37 | 45129 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Acquired upon the vesting of performance-contingent restricted stock units granted by the issuer to the reporting person under an Equity Incentive Plan of the issuer adopted in accordance with Rule 16(b)(3) under the Securities Exchange Act of 1934, as amended. |
(2) | These shares were sold by the reporting person to the issuer to pay federal and state withholding taxes resulting from the vesting of a total of 41,450 service-contingent and performance-contingent restricted stock units on December 10, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Orlando Joseph J C/O COLLECTORS UNIVERSE, INC. P.O. BOX 6280 NEWPORT BEACH,, CA 92658 | X |
| President & CEO |
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Signatures
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/s/ Joseph J. Orlando | | 12/15/2020 |
**Signature of Reporting Person | Date |
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