0000899243-21-014647.txt : 20210402
0000899243-21-014647.hdr.sgml : 20210402
20210402184328
ACCESSION NUMBER: 0000899243-21-014647
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210402
DATE AS OF CHANGE: 20210402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Peregrine Holdings LLC
CENTRAL INDEX KEY: 0001853281
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36807
FILM NUMBER: 21803319
BUSINESS ADDRESS:
STREET 1: 222 ROSEWOOD DRIVE, SUITE 530
CITY: DANVERS
STATE: MA
ZIP: 01923
BUSINESS PHONE: 617-570-1000
MAIL ADDRESS:
STREET 1: 222 ROSEWOOD DRIVE, SUITE 530
CITY: DANVERS
STATE: MA
ZIP: 01923
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Peregrine Trust Company, LLC
CENTRAL INDEX KEY: 0001853284
STATE OF INCORPORATION: WY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36807
FILM NUMBER: 21803320
BUSINESS ADDRESS:
STREET 1: 222 ROSEWOOD DRIVE, SUITE 530
CITY: DANVERS
STATE: MA
ZIP: 01923
BUSINESS PHONE: 617-570-1000
MAIL ADDRESS:
STREET 1: 222 ROSEWOOD DRIVE, SUITE 530
CITY: DANVERS
STATE: MA
ZIP: 01923
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Peregrine Financial Corp
CENTRAL INDEX KEY: 0001853282
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36807
FILM NUMBER: 21803321
BUSINESS ADDRESS:
STREET 1: 222 ROSEWOOD DRIVE, SUITE 530
CITY: DANVERS
STATE: MA
ZIP: 01923
BUSINESS PHONE: 617-570-1000
MAIL ADDRESS:
STREET 1: 222 ROSEWOOD DRIVE, SUITE 530
CITY: DANVERS
STATE: MA
ZIP: 01923
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CPS TECHNOLOGIES CORP/DE/
CENTRAL INDEX KEY: 0000814676
STANDARD INDUSTRIAL CLASSIFICATION: POTTERY & RELATED PRODUCTS [3260]
IRS NUMBER: 042832509
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1226
BUSINESS ADDRESS:
STREET 1: 111 SOUTH WORCESTER STREET
CITY: NORTON
STATE: MA
ZIP: 02766
BUSINESS PHONE: 508-222-0614
MAIL ADDRESS:
STREET 1: 111 SOUTH WORCESTER STREET
CITY: NORTON
STATE: MA
ZIP: 02766
FORMER COMPANY:
FORMER CONFORMED NAME: CERAMICS PROCESS SYSTEMS CORP/DE/
DATE OF NAME CHANGE: 19920703
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-03-31
1
0000814676
CPS TECHNOLOGIES CORP/DE/
CPSH
0001853282
Peregrine Financial Corp
222 ROSEWOOD DRIVE, SUITE 530
DANVERS
MA
01923
0
0
1
0
0001853284
Peregrine Trust Company, LLC
222 ROSEWOOD DRIVE, SUITE 530
DANVERS
MA
01923
0
0
1
0
0001853281
Peregrine Holdings LLC
222 ROSEWOOD DRIVE, SUITE 530
DANVERS
MA
01923
0
0
1
0
Common Stock
2021-03-31
4
S
0
35000
12.6573
D
707638
I
See Footnote
Common Stock
2021-03-31
4
S
0
35000
12.6573
D
705575
I
See Footnote
Common Stock
2021-03-31
4
S
0
10000
13.1563
D
697638
I
See Footnote
Common Stock
2021-03-31
4
S
0
10000
13.1563
D
695575
I
See Footnote
Common Stock
2021-03-31
4
S
0
5901
13.2903
D
691737
I
See Footnote
Common Stock
2021-03-31
4
S
0
5901
13.2903
D
689675
I
See Footnote
On March 31, 2021, CMS Holdings, L.L.C. ("CMS Holdings") sold 35,000 shares. Peregrine Financial Corporation ("PFC") provides administrative support services to Peregrine Trust Company, LLC ("PTC"), which is the trustee of MSC Trust (Trust u/w dtd 12/12/96 Michael S. Currier (Art 8th) fbo Karin A. Griscom) ("MSC Trust") and Stephen R. Currier Continuing Trust Under Article Seventh of the Last Will and Testament of Michael S. Currier fbo Ailsa Christina Griscom Currier and her descendants ("SRC Trust"). CMS Holdings is wholly owned by MSC Trust. For its services, PFC receives a fixed fee not based on the performance of the shares, which fee is exempt pursuant to Rule 16a-1(a)(2) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and therefore has no pecuniary interest in the shares.
Represents 705,578 shares held directly by CMS Holdings and 2,060 shares held directly by SRC Trust.
On March 31, 2021, Peregrine Holdings, LLC ("Peregrine Holdings") sold 2,971 shares. PFC provides administrative support services to Peregrine Holdings and for its services receives a fixed fee not based on the performance of the shares, which fee is exempt pursuant to Rule 16a-1(a)(2) of the Exchange Act, and therefore has no pecuniary interest in the shares.
Represents 705,575 shares held directly by Peregrine Holdings.
On March 31, 2021, CMS Holdings sold 10,000 shares. The price reported in Column 4 is a weighted average price. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Represents 695,578 shares held directly by CMS Holdings and 2,060 shares held directly by SRC Trust.
On March 31, 2021, Peregrine Holdings sold 10,000 shares. The price reported in Column 4 is a weighted average price. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Represents 695,575 shares held directly by Peregrine Holdings.
On March 31, 2021, CMS Holdings sold 5,901 shares.
Represents 689,677 shares held directly by CMS Holdings and 2,060 shares held directly by SRC Trust.
On March 31, 2021, Peregrine Holdings sold 5,900 shares.
Represents 689,675 shares held directly by Peregrine Holdings.
The reporting persons disclaim that they may be deemed to be acting in a "group" as that term is used in Rule 13d-5 of the Exchange Act.
PEREGRINE FINANCIAL CORPORATION, By: /s/ Stephen J. Therrien, Title: Vice President
2021-04-02
PEREGRINE TRUST COMPANY, LLC, By: /s/ Matt Tobin, Title: Secretary
2021-04-02
PEREGRINE HOLDINGS, LLC, By: /s/ Stephen J. Therrien, Title: Authorized Signatory
2021-04-02