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CLCT Collectors Universe Inc

91.92
0.00 (0.00%)
05 Jul 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Collectors Universe Inc NASDAQ:CLCT NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 91.92 92.00 90.00 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

16/12/2020 10:46pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Orlando Joseph J
2. Issuer Name and Ticker or Trading Symbol

COLLECTORS UNIVERSE INC [ CLCT ]
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)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
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)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Orlando Joseph J
C/O COLLECTORS UNIVERSE, INC.
P.O. BOX 6280
NEWPORT BEACH,, CA 92658
X
President & CEO

Signatures
/s/ Joseph J. Orlando12/15/2020
**Signature of Reporting PersonDate

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