0001104659-23-109643.txt : 20231017 0001104659-23-109643.hdr.sgml : 20231017 20231017170326 ACCESSION NUMBER: 0001104659-23-109643 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231013 FILED AS OF DATE: 20231017 DATE AS OF CHANGE: 20231017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'CONNELL DON CENTRAL INDEX KEY: 0001707186 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23329 FILM NUMBER: 231330260 MAIL ADDRESS: STREET 1: C/O CHARLES & COLVARD, LTD. STREET 2: 170 SOUTHPORT DRIVE CITY: MORRISVILLE STATE: NC ZIP: 27560 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 tm2328631-2_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-10-13 0 0001015155 CHARLES & COLVARD LTD CTHR 0001707186 O'CONNELL DON 170 SOUTHPORT DRIVE MORRISVILLE NC 27560 1 1 0 0 President & CEO 0 Common Stock 2023-10-13 4 D 0 97500 0.00 D 451114 D Represents cancellation of 97,500 shares of performance-based restricted stock originally granted on November 7, 2022 pursuant to Charles & Colvard, Ltd.'s Fiscal 2023 Senior Management Equity Incentive Program (the "Plan"). These shares were cancelled because the performance goals associated with the grant were not achieved at the target level. An additional 52,500 shares of performance-based phantom stock were forfeited pursuant to the Plan because the performance goals associated with the grant were not achieved at the target level. /s/ Clint J. Pete Attorney-in-Fact 2023-10-17