0001104659-22-123842.txt : 20221201 0001104659-22-123842.hdr.sgml : 20221201 20221201215549 ACCESSION NUMBER: 0001104659-22-123842 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221123 FILED AS OF DATE: 20221201 DATE AS OF CHANGE: 20221201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERMAN LYLE CENTRAL INDEX KEY: 0000903291 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-41472 FILM NUMBER: 221440168 MAIL ADDRESS: STREET 1: 10275 WAYZATA BOULEVARD STREET 2: SUITE 100 CITY: MINNETONKA STATE: MN ZIP: 55305 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Mill City Ventures III, Ltd CENTRAL INDEX KEY: 0001425355 STANDARD INDUSTRIAL CLASSIFICATION: SHORT-TERM BUSINESS CREDIT INSTITUTIONS [6153] IRS NUMBER: 900316651 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1907 WAYZATA BOULEVARD STREET 2: SUITE 205 CITY: WAYZATA STATE: MN ZIP: 55391 BUSINESS PHONE: (952) 479-1923 MAIL ADDRESS: STREET 1: 1907 WAYZATA BOULEVARD STREET 2: SUITE 205 CITY: WAYZATA STATE: MN ZIP: 55391 FORMER COMPANY: FORMER CONFORMED NAME: POKER MAGIC INC DATE OF NAME CHANGE: 20080129 4/A 1 tm2231689-1_4aseq1.xml OWNERSHIP DOCUMENT X0306 4/A 2022-11-23 2022-11-25 0 0001425355 Mill City Ventures III, Ltd MCVT 0000903291 BERMAN LYLE 130 CHESHIRE LANE, SUITE 101 MINNETONKA MN 55305 1 0 0 0 Common Stock 215556 D Non-qualified stock options 2.12 2022-11-23 4 A 0 100000 0 A 2022-11-23 2032-11-22 Common stock 100000 100000 D Of the reported amount, 6,667 common shares are subject to forfeiture pursuant to a restricted stock agreement with the issuer. Forfeiture restrictions on those 6,667 common shares lapse on January 24, 2023. Options were issued to the reporting person pursuant to an award approved, without restrictions, by the Compensation Committee of the Board of Directors of the issuer on November 23, 2022. The exercise price is the closing market price of the common stock on the date of the award. The options are not exercisable by their terms unless and until the related equity compensation plan shall have been approved by the issuer's shareholders. This amendment is being filed to correct a reporting error in the original filing indicating that the award made on 11/23/2022 was a stock award. Accordingly, the relevant row in Table I has been removed and the corrected information now appears in Table II. /s/ Lyle Berman 2022-11-30