0001104659-21-038424.txt : 20210318 0001104659-21-038424.hdr.sgml : 20210318 20210318170943 ACCESSION NUMBER: 0001104659-21-038424 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210316 FILED AS OF DATE: 20210318 DATE AS OF CHANGE: 20210318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SYKES OLLIN B CENTRAL INDEX KEY: 0001258861 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23329 FILM NUMBER: 21755328 MAIL ADDRESS: STREET 1: C/O GATEWAY FINANCIAL HODINGS STREET 2: P O BOX 1908 CITY: ELIZABETH CITY STATE: NC ZIP: 27906 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 tm2110243d1_form4.xml FORM 4 X0306 4 2021-03-16 0 0001015155 CHARLES & COLVARD LTD CTHR 0001258861 SYKES OLLIN B 170 SOUTHPORT DRIVE MORRISVILLE NC 27560 1 0 0 0 Common Stock 2021-03-16 4 P 0 56000 2.78 A 1356000 I By Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 Common Stock 2021-03-16 4 P 0 3000 2.87 A 138000 I By SEP IRA Common Stock 2021-03-16 4 P 0 3000 2.87 A 95358 I By ROTH IRA Common Stock 2021-03-16 4 P 0 1500 2.90 A 106500 I By IRA Common Stock 45787 I By spouse Common Stock 506314 D Ollin Sykes is the co-trustee of the Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985. The aggregate shares of the Issuer's common stock reported as held by the plan include 356,000 shares (including the 6,000 shares reported as purchased herein) held in Mr. Sykes's personal 401(k) account under the plan. Mr. Sykes disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.66 to $2.89, inclusive. The reporting person undertakes to provide to Charles & Colvard, Ltd., any security holder of Charles & Colvard, Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4. Represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.86 to $2.88, inclusive. The reporting person undertakes to provide to Charles & Colvard, Ltd., any security holder of Charles & Colvard, Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3) to this Form 4. /s/ Clint J. Pete, Attorney-In-Fact 2021-03-18