0001104659-21-024089.txt : 20210216 0001104659-21-024089.hdr.sgml : 20210216 20210216162616 ACCESSION NUMBER: 0001104659-21-024089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210212 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN NEAL I CENTRAL INDEX KEY: 0001182567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23329 FILM NUMBER: 21639064 MAIL ADDRESS: STREET 1: 170 SOUTHPORT DRIVE CITY: MORRISVILLE STATE: NC ZIP: 27560 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CHARLES & COLVARD LTD CENTRAL INDEX KEY: 0001015155 STANDARD INDUSTRIAL CLASSIFICATION: JEWELRY, SILVERWARE & PLATED WARE [3910] IRS NUMBER: 561928817 STATE OF INCORPORATION: NC FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 170 SOUTHPORT DRIVE CITY: MORRISVILLE STATE: NC ZIP: 27560 BUSINESS PHONE: 9194680399 MAIL ADDRESS: STREET 1: 170 SOUTHPORT DRIVE CITY: MORRISVILLE STATE: NC ZIP: 27560 FORMER COMPANY: FORMER CONFORMED NAME: C3 INC /NC/ DATE OF NAME CHANGE: 19970829 4 1 tm216829d1_4.xml OWNERSHIP DOCUMENT X0306 4 2021-02-12 0 0001015155 CHARLES & COLVARD LTD CTHR 0001182567 GOLDMAN NEAL I 170 SOUTHPORT DRIVE MORRISVILLE NC 27560 1 0 0 0 Common Stock 2021-02-12 4 M 0 44642 1.12 A 446865 D Common Stock 2021-02-12 4 M 0 95454 1.10 A 542319 D Common Stock 120000 I By Neal Goldman IRA Common Stock 250000 I By Goldman Partners, LP Stock Option (right to buy) 1.12 2021-02-12 4 M 0 44642 0 D 2017-01-01 2026-01-01 Common Stock 44462 0 D Stock Option (right to buy) 1.10 2021-02-12 4 M 0 50000 0 D 2017-05-18 2026-05-18 Common Stock 50000 0 D Stock Option (right to buy) 1.10 2021-02-12 4 M 0 45454 0 D 2018-01-01 2027-01-01 Common Stock 45454 0 D Mr. Goldman is a partner with Goldman Partners, L.P. Mr. Goldman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. /s/ Clint J. Pete, Attorney-In-Fact 2021-02-16