Filing Details
- Accession Number:
- 0001144204-17-031122
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-05 20:56:33
- Reporting Period:
- 2017-05-17
- Filing Date:
- 2017-06-05
- Accepted Time:
- 2017-06-05 20:56:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1015155 | Charles & Colvard Ltd | CTHR | Jewelry, Silverware & Plated Ware (3910) | 561928817 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1258861 | B Ollin Sykes | 170 Southport Drive Morrisville NC 27560 | 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 | Acquisiton | 2017-06-02 | 12,288 | $0.91 | 660,440 | No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| Common Stock | Acquisiton | 2017-06-02 | 400 | $0.95 | 660,840 | No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| Common Stock | Acquisiton | 2017-06-02 | 457 | $0.95 | 661,297 | No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| Common Stock | Acquisiton | 2017-06-02 | 6,855 | $0.95 | 668,152 | No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| Common Stock | Acquisiton | 2017-06-02 | 200 | $0.96 | 668,352 | No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| Common Stock | Acquisiton | 2017-06-05 | 20,000 | $0.92 | 688,352 | No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| Common Stock | Acquisiton | 2017-06-02 | 1,800 | $0.92 | 33,399 | No | 4 | P | Indirect | By SEP IRA |
| Common Stock | Acquisiton | 2017-06-02 | 3,600 | $0.92 | 36,999 | No | 4 | P | Indirect | By SEP IRA |
| Common Stock | Acquisiton | 2017-06-02 | 2,100 | $0.92 | 39,099 | No | 4 | P | Indirect | By SEP IRA |
| Common Stock | Acquisiton | 2017-06-02 | 4,000 | $0.92 | 43,099 | No | 4 | P | Indirect | By SEP IRA |
| Common Stock | Acquisiton | 2017-06-02 | 100 | $0.92 | 43,199 | No | 4 | P | Indirect | By SEP IRA |
| Common Stock | Acquisiton | 2017-06-05 | 26,187 | $0.95 | 69,386 | No | 4 | P | Indirect | By SEP IRA |
| Common Stock | Acquisiton | 2017-06-02 | 49 | $0.94 | 5,524 | No | 4 | P | Indirect | By IRA |
| Common Stock | Acquisiton | 2017-06-02 | 72 | $0.98 | 5,596 | No | 4 | P | Indirect | By IRA |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| No | 4 | P | Indirect | By Ollin Sykes TR FBO Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 |
| No | 4 | P | Indirect | By SEP IRA |
| No | 4 | P | Indirect | By SEP IRA |
| No | 4 | P | Indirect | By SEP IRA |
| No | 4 | P | Indirect | By SEP IRA |
| No | 4 | P | Indirect | By SEP IRA |
| No | 4 | P | Indirect | By SEP IRA |
| No | 4 | P | Indirect | By IRA |
| No | 4 | P | Indirect | By IRA |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Acquisiton | 2017-05-17 | 55,555 | $0.00 | 55,555 | $0.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 55,555 | 2018-05-16 | 2027-05-17 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 348,484 | Direct | |
| Common Stock | 35,787 | Indirect | By spouse |
| Common Stock | 918 | Indirect | By Sykesco Investment Partners |
| Common Stock | 17,323 | Indirect | By ROTH IRA |
Footnotes
- Ollin Sykes is the trustee of the Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985. The aggregate shares of the Issuer's common stock reported as held by the plan include 99,377 shares held in Mr. Sykes's personal 401(k) account under the plan. Mr. Sykes disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- Mr. Sykes is a partner within this investment partnership and has shared voting and investment power over these shares.
- Option vests and becomes exercisable on the date of the 2018 Annual Shareholders' Meeting.
Billionaire Hedge Funds
