0001209191-19-061480.txt : 20191220 0001209191-19-061480.hdr.sgml : 20191220 20191220131540 ACCESSION NUMBER: 0001209191-19-061480 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191218 FILED AS OF DATE: 20191220 DATE AS OF CHANGE: 20191220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRAWFORD MATTHEW V CENTRAL INDEX KEY: 0001132148 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-00147 FILM NUMBER: 191299235 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CRAWFORD UNITED Corp CENTRAL INDEX KEY: 0000047307 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 340288470 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10514 DUPONT AVE CITY: CLEVELAND STATE: OH ZIP: 44108 BUSINESS PHONE: 2165418060 MAIL ADDRESS: STREET 1: 10514 DUPONT AVE CITY: CLEVELAND STATE: OH ZIP: 44108 FORMER COMPANY: FORMER CONFORMED NAME: HICKOK INC DATE OF NAME CHANGE: 19950328 FORMER COMPANY: FORMER CONFORMED NAME: HICKOK ELECTRICAL INSTRUMENT CO DATE OF NAME CHANGE: 19920703 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-12-18 0 0000047307 CRAWFORD UNITED Corp CRAWA 0001132148 CRAWFORD MATTHEW V 10514 DUPONT AVE. CLEVELAND OH 44108 1 0 1 0 Class B Common Shares 2019-12-18 4 C 0 75000 1.43 A 573750 I See Footnote Class A Common Shares 2019-12-18 4 C 0 251489 1.43 A 1583657 I See Footnote Class A Common Shares 9000 D Convertible Loan Agreement 1.43 2019-12-18 4 C 0 75000 0.00 D 2019-12-31 Class B Common Shares 75000 0 I See Footnote Convertible Loan Agreement 1.43 2019-12-18 4 C 0 251489 0.00 D 2019-12-31 Class A Common Shares 251489 0 I See Footnote Includes 170,000 Class B Common Shares that are owned directly by Roundball LLC and 403,750 Class B Common Shares that are owned directly by First Francis Company Inc. This balance reflects a correction in the number of Class B Common Shares held by Roundball LLC from that reported in the Form 4 filed by the reporting person on December 13, 2019. For purposes of the Securities Exchange Act of 1934, the reporting person disclaims beneficial ownership of any securities, except to his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Includes 672,407 Class A Common Shares that are owned directly by Roundball LLC and 911,250 Class A Common Shares that are owned directly by First Francis Company Inc. For purposes of the Securities Exchange Act of 1934, the reporting person disclaims beneficial ownership of any securities, except to his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise. In 2011, the Crawford United Corporation issued a convertible note to Roundball LLC. In December 2018, the note was amended to provide Roundball LLC with the option to convert a portion of the outstanding indebtedness into Class B Common Shares at a price of $1.43 per share, up to a maximum amount of 75,000 Class B Common Shares, subject to shareholder approval, which approval was obtained on May 10, 2019. On December 18, 2019, Roundball LLC, an Ohio limited liability company elected to convert all $466,879.88 of the amount outstanding under the convertible note into 75,000 Class B Common Shares and 251,489 Class A Common Shares. The securities reported are owned directly by Roundball LLC, an Ohio limited liability company. For purposes of the Securities Exchange Act of 1934, the reporting person disclaims beneficial ownership of any securities, except to his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise. /s/ Matthew V. Crawford, by Kelly J. Marek, his attorney-in-fact, pursuant to Power of Attorney dated July 23, 2019, on file with the Commission 2019-12-20