Smith Ronald Eric 4

4 · Deep Down, Inc. · Filed Nov 20, 2019

Form 4

Period: 2019-01-04

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

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

1 file