0001104659-20-131200.txt : 20201201 0001104659-20-131200.hdr.sgml : 20201201 20201201184927 ACCESSION NUMBER: 0001104659-20-131200 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201119 FILED AS OF DATE: 20201201 DATE AS OF CHANGE: 20201201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SYKES OLLIN B CENTRAL INDEX KEY: 0001258861 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23329 FILM NUMBER: 201361991 MAIL ADDRESS: STREET 1: C/O GATEWAY FINANCIAL HODINGS STREET 2: P O BOX 1908 CITY: ELIZABETH CITY STATE: NC ZIP: 27906 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CHARLES & COLVARD LTD CENTRAL INDEX KEY: 0001015155 STANDARD INDUSTRIAL CLASSIFICATION: JEWELRY, SILVERWARE & PLATED WARE [3910] IRS NUMBER: 561928817 STATE OF INCORPORATION: NC FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 170 SOUTHPORT DRIVE CITY: MORRISVILLE STATE: NC ZIP: 27560 BUSINESS PHONE: 9194680399 MAIL ADDRESS: STREET 1: 170 SOUTHPORT DRIVE CITY: MORRISVILLE STATE: NC ZIP: 27560 FORMER COMPANY: FORMER CONFORMED NAME: C3 INC /NC/ DATE OF NAME CHANGE: 19970829 4 1 tm2037458-4_4.xml OWNERSHIP DOCUMENT X0306 4 2020-11-19 0 0001015155 CHARLES & COLVARD LTD CTHR 0001258861 SYKES OLLIN B 170 SOUTHPORT DRIVE MORRISVILLE NC 27560 1 0 0 0 Common Stock 2020-11-27 4 P 0 5000 1.21 A 1095116 I By Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 Common Stock 2020-11-27 4 P 0 5000 1.21 A 135000 I By SEP IRA Common Stock 2020-11-30 4 P 0 8943 1.16 A 1104059 I By Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985 Common Stock 92323 I By ROTH IRA Common Stock 100000 I By IRA Common Stock 45787 I By spouse Common Stock 348484 D Stock Option (right to buy) 1.12 2020-11-19 4 A 0 44642 0.00 A 2030-11-19 Common stock 44642 44642 D Ollin Sykes is the co-trustee of the Sykes & Company PA 401(k) Profit Sharing Plan UA Jan 01, 1985. The aggregate shares of the Issuer's common stock reported as held by the plan include 342,165 shares (including the 13,943 shares reported as purchased herein) held in Mr. Sykes's personal 401(k) account under the plan. Mr. Sykes disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.15 to $1.16, inclusive. The reporting person undertakes to provide to Charles & Colvard, Ltd., any security holder of Charles & Colvard, Ltd., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4. Option vests and becomes exercisable on the date of the 2021 Annual Shareholders' Meeting. /s/ Clint J. Pete, Attorney-In-Fact 2020-12-01