Key facts
- This page summarizes Howard P. Liszt's Form 4/A - Amendment filing for Mill City Ventures III, Ltd (MCVT).
- 0 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 01 Dec 2022, 20:56.
Howard P. Liszt - 23 Nov 2022 Form 4/A - Amendment Insider Report for Mill City Ventures III, Ltd (MCVT)
- Reporting relationship
- Director
- Issuer ticker
- MCVT
- Reported as of
- 23 Nov 2022
- Net transaction value
- $0
- SEC form
- 4/A - Amendment
- Accepted by SEC
- 01 Dec 2022, 20:56:24 UTC
- Original report date
- 25 Nov 2022
- Prior SEC filing
- 23 Sep 2022
- Next SEC filing
- 07 Jul 2026
- Source filing
- View source filing
- Reporting owner signature
- /s/ Howard P. Liszt
Source evidence
Original filing metadata and source links for verification.
6 source fields
Reporting owner
1 detail
Key filing fact
Howard P. Liszt filed Form 4/A - Amendment for Mill City Ventures III, Ltd (MCVT) on 01 Dec 2022.
Change
- Previous filing in this sequence was filed on 23 Sep 2022.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4/A - Amendment disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
MCVT
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 25,434
- Date
- 23 Nov 2022
- Ownership
- Direct
- Footnotes
- F1
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
MCVT
holding
Derivative
Non-qualified stock options
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 100,000
- Date
- 23 Nov 2022
- Ownership
- Direct
- Underlying class
- Common stock
- Underlying amount
- 100,000
- Exercise price
- $2.12
- Footnotes
- F2, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
Of the reported amount, 6,667 common shares are subject to forfeiture pursuant to a restricted stock agreement with the issuer. Forfeiture restrictions on those 6,667 common shares lapse on January 24, 2023.
Footnote F2
Options were issued to the reporting person pursuant to an award approved, without restrictions, by the Compensation Committee of the Board of Directors of the issuer on November 23, 2022. The exercise price is the closing market price of the common stock on the date of the award.
Footnote F3
The options are not exercisable by their terms unless and until the related equity compensation plan shall have been approved by the issuer's shareholders.
SEC remarks
This amendment is being filed to correct a reporting error in the original filing indicating that the award made on 11/23/2022 was a stock award. Accordingly, the relevant row in Table I has been removed and the corrected information now appears in Table II.