Rosenbaum Leonard A's Form 4 filing

CVD Equipment Corp (CVV) · filed Sep 17, 2021

Accession no.: 0001116579-21-000016
Filed: Sep 17, 2021
Trade date: Sep 16-17, 2021
Filing delay: 1 day
Rule 10b5-1 plan: Not on the form (before 2023)

Original on SEC EDGAR (opens in a new tab)

This filing lists 2 non-derivative transactions. Open-market sales total $116.3K. It was filed 1 day after the trade.

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.

Reporting owners on this filing
Owner	Relationship to the company
Rosenbaum Leonard ACIK 0001116579	10% Owner, Other: affiliate

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade date	Security	Transaction	Shares	Price	Value	Shares after	Ownership	Flags
Sep 16, 2021	Common Stock	SSaleDisposed	−23,500	$4.51^F1	−$105,985	685,317	Direct
Sep 17, 2021	Common Stock	SSaleDisposed	−2,300	$4.50^F2	−$10,350	683,017	Direct

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.

Average selling price on 9/16/2021.

Referenced by the price of 1 transaction in Table I.

Average Selling price on 9/17/2021.

Referenced by the price of 1 transaction in Table I.

Read the full filing on SEC EDGAR (opens in a new tab)