O'Dowd William IV's Form 4 filing
Dolphin Entertainment, Inc. (DLPN) · filed Sep 8, 2026
- Accession no.
- 0001079973-26-001229
- Filed
- Sep 8, 2026, 4:40 PM ET
- Trade date
- May 12, 2025
- Filing delay
- 484 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 derivative transactions. It was filed 484 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| O'Dowd William IVCIK 0001520776 | Director, Officer (Chief Executive Officer), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 12, 2025 | Common Stock | JOtherAcquired | +1,107,873 | $1,107,873.00F1 | – | – | Indirect | Price outlier |
| May 12, 2025 | Common Stock | JOtherAcquired | +1,000,000 | $1,000,000.00F1 | – | – | Indirect | Price outlier |
| May 12, 2025 | Common Stock | JOtherAcquired | +135,000 | $135,000.00F1 | – | – | Indirect | Price outlier |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On May 12, 2025, the Issuer entered into an exchange agreement (the "Exchange Agreement") with Dolphin Entertainment LLC ("DE LLC"), pursuant to which, the Issuer and DE LLC agreed to exchange the three nonconvertible promissory notes in the aggregate principal amount of $2,242,873 for three convertible promissory notes (the "New Notes") in the same principal amounts. As consideration for the exchange, the Issuer and DE LLC agreed to extend the maturity date on each of the notes by six months. One note, with a principal balance of $1,107,873 now matures on June 30, 2027, one note with a principal balance of $1,000,000 now matures on October 29, 2029 and one note with a principal balance of $135,000, now matures on December 10, 2029. The New Notes continue to bear interest at a rate of 10% per annum. DE LLC may convert the principal balance of the New Notes and any accrued interest thereon at any time before the maturity date of the Note into common stock of the Issuer.
Referenced by the price of 3 transactions in Table II.