Filing Details
- Accession Number:
- 0001553350-18-000386
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-04-19 21:41:57
- Reporting Period:
- 2018-03-11
- Accepted Time:
- 2018-04-19 21:41:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1282224 | Dolphin Entertainment Inc. | DLPN | Services-Personal Services (7200) | 860787790 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1421302 | Allan Mayer | C/O Dolphin Entertainment, Inc. 2151 Le Jeune Road, Suite 150-Mezzanine Coral Gables FL 33134 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2018-03-11 | 48,806 | $9.22 | 364,447 | No | 4 | X | Indirect | By Trust |
| Common Stock | Disposition | 2018-03-21 | 8,134 | $9.22 | 356,313 | No | 4 | X | Indirect | By Trust |
| Common Stock | Acquisiton | 2018-04-17 | 1,000 | $2.88 | 357,313 | No | 4 | P | Indirect | By Trust |
| Common Stock | Acquisiton | 2018-04-18 | 741 | $2.92 | 358,054 | No | 4 | P | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Indirect | By Trust |
| No | 4 | X | Indirect | By Trust |
| No | 4 | P | Indirect | By Trust |
| No | 4 | P | Indirect | By Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Put Option (right to sell) | Disposition | 2018-03-11 | 48,806 | $0.00 | 48,806 | $9.22 |
| Common Stock | Put Option (right to sell) | Disposition | 2018-03-21 | 8,134 | $0.00 | 8,134 | $9.22 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 566,707 | 2018-03-11 | 2018-03-21 | No | 4 | X | Direct |
| 558,573 | 2018-03-21 | 2018-03-31 | No | 4 | X | Direct |
Footnotes
- These shares are held by the Mayer-Vogel Trust, of which the Reporting Person is the trustee.
- The purchases reported in this Form 4 were effected pursuant to a pre-arranged, non-discretionary trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
Billionaire Hedge Funds
