Rosenbaum Leonard A's Form 4/A amendment
AmendedCVD Equipment Corp (CVV) · filed Sep 28, 2021
- Accession no.
- 0001116579-21-000018
- Filed
- Sep 28, 2021
- Trade date
- Aug 27-Sep 22, 2021
- Filing delay
- 32 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 27, 2021
This filing lists 13 non-derivative transactions. Open-market sales total $320.6K. It was filed 32 days after the trade.
This amendment replaces 0001116579-21-000009 (filed Aug 27, 2021).
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 |
|---|---|
| Rosenbaum Leonard ACIK 0001116579 | Other: affiliate |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 27, 2021 | Common Stock | SSaleDisposed | −4,700 | $4.77 | −$22,419 | 687,972 | Direct | |
| Aug 31, 2021 | Common Stock | SSaleDisposed | −800 | $4.75 | −$3,800 | 687,172 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −3,217 | $4.76 | −$15,312.92 | 683,955 | Direct | |
| Sep 2, 2021 | Common Stock | SSaleDisposed | −5,600 | $4.75 | −$26,600 | 678,355 | Direct | |
| Sep 3, 2021 | Common Stock | SSaleDisposed | −1,900 | $4.76 | −$9,044 | 676,455 | Direct | |
| Sep 7, 2021 | Common Stock | SSaleDisposed | −5,507 | $4.78 | −$26,323.46 | 670,948 | Direct | |
| Sep 8, 2021 | Common Stock | SSaleDisposed | −300 | $4.76 | −$1,428 | 670,648 | Direct | |
| Sep 9, 2021 | Common Stock | SSaleDisposed | −100 | $4.75 | −$475 | 670,548 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −403 | $4.76 | −$1,918.28 | 670,145 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −20,204 | $4.53 | −$91,524.12 | 649,941 | Direct | |
| Sep 16, 2021 | Common Stock | SSaleDisposed | −23,500 | $4.51 | −$105,985 | 626,441 | Direct | |
| Sep 17, 2021 | Common Stock | SSaleDisposed | −2,300 | $4.50 | −$10,350 | 624,141 | Direct | |
| Sep 22, 2021 | Common Stock | SSaleDisposed | −1,200 | $4.50 | −$5,400 | 622,941 | 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.
- F1
To correct beneficial ownership on filing date 8/27/2021, previously recorded as 746,848 due to clerical error.
- F2
To correct beneficial ownership on filing date 8/31/2021, previously recorded as 746,048 due to clerical error.
- F3
To correct beneficial ownership on transaction date 9/1/2021, filed on 9/2/2021, previously recorded as 742,831 due to clerical error.
- F4
To correct beneficial ownership on transaction date 9/2/2021, filed on 9/2/2021, previously recorded as 737,231 due to clerical error.
- F5
To correct beneficial ownership on transaction date 9/3/2021 filed on 9/7/2021, previously recorded as 735,331 due to clerical error.
- F6
To correct beneficial ownership on transaction date 9/7/2021 and filed on 9/7/2021, previously recorded as 729,824 due to clerical error
- F7
to correct beneficial ownership on transaction date 9/8/2021, filed on 9/9/2021, previously recorded as 729,524 due to clerical error
- F8
To correct beneficial ownership on transaction date 9/9/2021, filed on 9/9/2021, previously recorded as 729,424 due to clerical error
- F9
To correct beneficial ownership on transaction date 9/10/2021, filed on 9/13/2021, previously recorded as 729,021 due to clerical error
- F10
To correct beneficial ownership on filing date 9/15/2021, filed on 9/15/2021, previously recorded as 708,817 due to clerical error
- F11
To correct beneficial ownership on transaction date 9/16/2021, filed on 9/17/2021, previously recorded as 685,317 due to clerical error
- F12
To correct beneficial ownership on transaction date 9/17/2021, filed on 9/17/2021, previously recorded as 683,017 due to clerical error
- F13
To correct beneficial ownership on transaction date 9/22/2021, filed on 9/22/2021, previously recorded as 681,817 due to clerical error
Remarks
This Form A is to correct the beneficial ownership amounts for file dates 8/27/21, 8/31/21, 9/2/21, 9/7/21, 9/9/21, 9/13/21, 9/15/21, 9/17/21 and 9/22/21. This clerical error was the result of an error in the filing on 8/27/21, which then also affected the subsequent filings. In addition, as a result of the corrections filed on this Form A, Leonard A. Rosenbaum's ownership is below 10%. This Form A reflects he is no longer a 10% Shareholder.