FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CVD EQUIPMENT CORP [ cvv ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/27/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 08/27/2021 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 08/27/2021 | S | 4,700 | D | $4.77 | 687,972(1) | D | |||
Common Stock | 08/31/2021 | S | 800 | D | $4.75 | 687,172(2) | D | |||
Common Stock | 09/01/2021 | S | 3,217 | D | $4.76 | 683,955(3) | D | |||
Common Stock | 09/02/2021 | S | 5,600 | D | $4.75 | 678,355(4) | D | |||
Common Stock | 09/03/2021 | S | 1,900 | D | $4.76 | 676,455(5) | D | |||
Common Stock | 09/07/2021 | S | 5,507 | D | $4.78 | 670,948(6) | D | |||
Common Stock | 09/08/2021 | S | 300 | D | $4.76 | 670,648(7) | D | |||
Common Stock | 09/09/2021 | S | 100 | D | $4.75 | 670,548(8) | D | |||
Common Stock | 09/10/2021 | S | 403 | D | $4.76 | 670,145(9) | D | |||
Common Stock | 09/15/2021 | S | 20,204 | D | $4.53 | 649,941(10) | D | |||
Common Stock | 09/16/2021 | S | 23,500 | D | $4.51 | 626,441(11) | D | |||
Common Stock | 09/17/2021 | S | 2,300 | D | $4.5 | 624,141(12) | D | |||
Common Stock | 09/22/2021 | S | 1,200 | D | $4.5 | 622,941(13) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. To correct beneficial ownership on filing date 8/27/2021, previously recorded as 746,848 due to clerical error. |
2. To correct beneficial ownership on filing date 8/31/2021, previously recorded as 746,048 due to clerical error. |
3. To correct beneficial ownership on transaction date 9/1/2021, filed on 9/2/2021, previously recorded as 742,831 due to clerical error. |
4. To correct beneficial ownership on transaction date 9/2/2021, filed on 9/2/2021, previously recorded as 737,231 due to clerical error. |
5. To correct beneficial ownership on transaction date 9/3/2021 filed on 9/7/2021, previously recorded as 735,331 due to clerical error. |
6. To correct beneficial ownership on transaction date 9/7/2021 and filed on 9/7/2021, previously recorded as 729,824 due to clerical error |
7. to correct beneficial ownership on transaction date 9/8/2021, filed on 9/9/2021, previously recorded as 729,524 due to clerical error |
8. To correct beneficial ownership on transaction date 9/9/2021, filed on 9/9/2021, previously recorded as 729,424 due to clerical error |
9. To correct beneficial ownership on transaction date 9/10/2021, filed on 9/13/2021, previously recorded as 729,021 due to clerical error |
10. To correct beneficial ownership on filing date 9/15/2021, filed on 9/15/2021, previously recorded as 708,817 due to clerical error |
11. To correct beneficial ownership on transaction date 9/16/2021, filed on 9/17/2021, previously recorded as 685,317 due to clerical error |
12. To correct beneficial ownership on transaction date 9/17/2021, filed on 9/17/2021, previously recorded as 683,017 due to clerical error |
13. To correct beneficial ownership on transaction date 9/22/2021, filed on 9/22/2021, previously recorded as 681,817 due to clerical error |
Remarks: |
This Form A is to correct the beneficial ownership amounts for file dates 8/27/21, 8/31/21, 9/2/21, 9/7/21, 9/9/21, 9/13/21, 9/15/21, 9/17/21 and 9/22/21. This clerical error was the result of an error in the filing on 8/27/21, which then also affected the subsequent filings. In addition, as a result of the corrections filed on this Form A, Leonard A. Rosenbaum's ownership is below 10%. This Form A reflects he is no longer a 10% Shareholder. |
leonard A. Rosenbaum | 09/28/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |