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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Entine Steven M. 6747 DIVERSITY ROAD MIDDLETON, WI 53562 |
X | See Note 3 Below |
Steven Entine, Co-Trustee | 12/25/2018 | |
**Signature of Reporting Person | Date | |
Ruth Nelson, Co-Trustee | 12/25/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On December 18, 2018 the Gerald Entine 1988 Family Trust sold 1,450,000 shares of common stock to Peter Sulick. Steven Entine and Ruth nelson are the Co-Trustees of the Gerald Entine 1988 Family Trust. All other shares of Dynasil Common Stock reported on this Form 4 are owned of record by the Gerald Entine 1988 Family Trust, a trust established by Gerald Entine. |
(2) | On December 18, 2018 the Gerald Entine 1988 Family Trust sold 1,450,000 shares of common stock to Peter Sulick. Steven Entine and Ruth nelson are the Co-Trustees of the Gerald Entine 1988 Family Trust. All other shares of Dynasil Common Stock reported on this Form 4 are owned of record by the Gerald Entine 1988 Family Trust, a trust established by Gerald Entine. |
Remarks: Reporting Owner Information -- Filed on behalf of CIK 0001291132, Steven Entine, Ruth Nelson and the Gerald Entine 1988 Family Trust (the "Trust"). Steven Entine, Ruth Nelson and the Trust are collectively a "Reporting Person". Dr. Entine passed away on May 22, 2018. Steven Entine and Ruth Nelson are now Co-Trustees of the Gerald Entine 1988 Family Trust, and as such may be deemed to beneficially own the shares of Dynasil Common Stock. |