0000899243-19-027689.txt : 20191120 0000899243-19-027689.hdr.sgml : 20191120 20191120163042 ACCESSION NUMBER: 0000899243-19-027689 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190104 FILED AS OF DATE: 20191120 DATE AS OF CHANGE: 20191120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Ronald Eric CENTRAL INDEX KEY: 0001385215 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30351 FILM NUMBER: 191234574 MAIL ADDRESS: STREET 1: 3020 SOUTH ISLAND DRIVE CITY: SEABROOK STATE: TX ZIP: 77586 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Deep Down, Inc. CENTRAL INDEX KEY: 0001110607 STANDARD INDUSTRIAL CLASSIFICATION: OIL & GAS FILED MACHINERY & EQUIPMENT [3533] IRS NUMBER: 752263732 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 18511 BEAUMONT HIGHWAY CITY: HOUSTON STATE: TX ZIP: 77049 BUSINESS PHONE: (281) 517-5000 MAIL ADDRESS: STREET 1: PO BOX 1389 CITY: CROSBY STATE: TX ZIP: 77532-1389 FORMER COMPANY: FORMER CONFORMED NAME: MediQuip Holdings, INC DATE OF NAME CHANGE: 20060501 FORMER COMPANY: FORMER CONFORMED NAME: TRUE HEALTH INC DATE OF NAME CHANGE: 20000329 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-01-04 0 0001110607 Deep Down, Inc. DPDW 0001385215 Smith Ronald Eric 1447 FM 1010 CLEVELAND TX 77327 0 0 1 0 Common Stock 2019-01-04 4 P 0 2350 0.87 A 363444 I By IRA Common Stock 2019-03-06 4 P 0 4100 0.75 A 367544 I By IRA Common Stock 2019-05-03 4 P 0 2200 0.91 A 369744 I By IRA Common Stock 2019-05-09 4 P 0 1100 0.93 A 370844 I By IRA Common Stock 2019-07-18 4 P 0 6650 0.75 A 377494 I By IRA Common Stock 2019-09-04 4 P 0 4250 0.72 A 381744 I By IRA Common Stock 2019-11-18 4 P 0 159627 0.62 A 541371 I By IRA Common Stock 2019-09-01 4 D 0 300000 D 1285762 D Common Stock 930651 I By Spouse Common Stock 23071 I By Spouse This transaction was executed in multiple trades at prices ranging from $0.57 to $0.67. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. This disposition was in connection with the Transition Agreement by and between Ronald E. Smith and issuer pursuant to which the reporting person surrendered 300,000 shares to the issuer in exchange for various assets (see Form 8-K filed by the issuer on August 15, 2019). These shares represent shares directly held by the reporting person's spouse, which may be deemed to be beneficially owned by the reporting person. These shares represent shares held indirectly by the reporting person's spouse through an individual retirement account, which may be deemed to be beneficially owned by the reporting person. /s/ Ronald Eric Smith 2019-11-20