4//SEC Filing
Smith Ronald Eric 4
Accession 0000899243-19-027689
CIK 0001110607other
Filed
Nov 19, 7:00 PM ET
Accepted
Nov 20, 4:30 PM ET
Size
18.7 KB
Accession
0000899243-19-027689
Insider Transaction Report
Form 4
Deep Down, Inc.DPDW
Smith Ronald Eric
DirectorPresident & CEO10% Owner
Transactions
- Purchase
Common Stock
2019-01-04$0.87/sh+2,350$2,045→ 363,444 total(indirect: By IRA) - Purchase
Common Stock
2019-03-06$0.75/sh+4,100$3,075→ 367,544 total(indirect: By IRA) - Purchase
Common Stock
2019-07-18$0.75/sh+6,650$4,988→ 377,494 total(indirect: By IRA) - Purchase
Common Stock
2019-05-09$0.93/sh+1,100$1,023→ 370,844 total(indirect: By IRA) - Purchase
Common Stock
2019-11-18$0.62/sh+159,627$98,969→ 541,371 total(indirect: By IRA) - Purchase
Common Stock
2019-05-03$0.91/sh+2,200$2,002→ 369,744 total(indirect: By IRA) - Purchase
Common Stock
2019-09-04$0.72/sh+4,250$3,060→ 381,744 total(indirect: By IRA) - Disposition to Issuer
Common Stock
2019-09-01−300,000→ 1,285,762 total
Holdings
- 23,071(indirect: By Spouse)
Common Stock
- 930,651(indirect: By Spouse)
Common Stock
Footnotes (4)
- [F1]This transaction was executed in multiple trades at prices ranging from $0.57 to $0.67. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- [F2]This disposition was in connection with the Transition Agreement by and between Ronald E. Smith and issuer pursuant to which the reporting person surrendered 300,000 shares to the issuer in exchange for various assets (see Form 8-K filed by the issuer on August 15, 2019).
- [F3]These shares represent shares directly held by the reporting person's spouse, which may be deemed to be beneficially owned by the reporting person.
- [F4]These shares represent shares held indirectly by the reporting person's spouse through an individual retirement account, which may be deemed to be beneficially owned by the reporting person.
Documents
Issuer
Deep Down, Inc.
CIK 0001110607
Entity typeother
Related Parties
1- filerCIK 0001385215
Filing Metadata
- Form type
- 4
- Filed
- Nov 19, 7:00 PM ET
- Accepted
- Nov 20, 4:30 PM ET
- Size
- 18.7 KB