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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 | |
HALL DAVID G COLLECTORS UNIVERSE, INC. P.O. BOX 6280 NEWPORT BEACH, CA 92658-6280 |
X | X | President |
Christine Kakour | 08/03/2009 | |
**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) | Awarded under the Issuer?s 2006 Equity Incentive Plan (which is a Section 16b-3 plan). All of these shares are subject to forfeiture if there is a cessation of Reporting Person?s service with the Issuer prior to July 31, 2010. If Reporting Person is still in the Issuer?s service on July 31, 2010, then 25% of the shares will vest (that is, cease to be subject to forfeiture) on that date. The remaining 75% of the shares will be forfeited, in their entirety, if the Company fails to achieve, for the fiscal year ending June 30, 2010, an operating income goal that has been established by the Compensation Committee. If that goal is achieved, then (i) another 25% of the shares will vest as a result of the achievement of that goal (ii) the remaining 50% of the shares will vest in two equal annual installments on June 30, 2011 and 2012, respectively, in each case provided that the Reporting Person is still in the Issuer?s service on such date. |
(2) | Does not include, and Mr. Hall disclaims beneficial ownership of a total of 51,066 shares held in a trust established for Mr. Hall's children. Mr. Hall may be deemed to share dispositive power over those shares, but does not have any financial or pecuniary interest in those shares. |