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