Filing Details
- Accession Number:
- 0001140361-11-045325
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-09 16:18:44
- Reporting Period:
- 2011-09-07
- Filing Date:
- 2011-09-09
- Accepted Time:
- 2011-09-09 16:18:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1089143 | Collectors Universe Inc | CLCT | Services-Business Services, Nec (7389) | 330846191 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1338936 | John Joseph Wallace | Collectors Universe, Inc. P.o. Box 6280 Newport Beach CA 92658 | Chief Financial Officer | No | Yes | 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 | 2011-09-07 | 4,250 | $12.48 | 89,840 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-07 | 4,250 | $16.75 | 85,590 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-07 | 750 | $13.18 | 86,340 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-07 | 750 | $16.75 | 85,590 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-08 | 3,000 | $13.18 | 88,590 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-08 | 3,000 | $16.75 | 85,590 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Options (right-to-buy) | Disposition | 2011-09-07 | 4,250 | $0.00 | 4,250 | $12.48 |
| Common Stock | Employee Stock Options (right-to-buy) | Disposition | 2011-09-07 | 750 | $0.00 | 11,000 | $13.18 |
| Common Stock | Employee Stock Options (right-to-buy) | Disposition | 2011-09-08 | 3,000 | $0.00 | 10,250 | $13.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2008-06-11 | 2014-06-11 | No | 4 | M | Direct |
| 10,250 | 2011-11-14 | 2017-11-14 | No | 4 | M | Direct |
| 7,250 | 2011-11-14 | 2017-11-14 | No | 4 | M | Direct |
Footnotes
- The per share exercise prices of these deriviative securities and the number of deriviative securities acquired have been retroactively adjusted for a 10% stock dividend declared on November 8, 2008.
Billionaire Hedge Funds
