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