Statement of Changes in Beneficial Ownership (4)
December 31 2019 - 12:49PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Smith Kirin |
2. Issuer Name and Ticker or Trading Symbol
CRAWFORD UNITED Corp
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CRAWA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CRAWFORD UNITED CORPORATION, 10514 DUPONT AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/27/2019 |
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(Street)
CLEVELAND, OH 44108
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A Common Shares, without par value | 12/27/2019 | | M | | 1000 | A | $6.00 | 16935 | D | |
| Class A Common Shares, without par value | | | | | | | | 51114 | I | By Intrinsic Value Capital, L.P. (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | $6.00 | 12/27/2019 | | M | | | 1000 | (2) | 2/25/2020 | Class A Common Shares | 1000 | $0.00 | 2000 (3) | D | |
| Explanation of Responses: |
| (1) | As a managing member of Glaubman & Rosenberg Partners, LLC and Glaubman & Rosenberg Advisors, LLC, the general partner and investment manager of Intrinsic Value Capital, L.P. ("IVC"), respectively, Kirin Smith may be deemed to beneficially own the Class A Common Shares beneficially owned by IVC. The reporting person disclaims beneficial ownership of the securities beneficially owned by the other members of the group except to the extent of his pecuniary interest therein. |
| (2) | Granted pursuant to the Hickok Incorporated 2010 Outside Directors Stock Option Plan, which complies with Rule 16b-3. These options became exercisable in equal 33% increments over three years beginning on February 25, 2011. |
| (3) | The reporting person still holds previously reported options to buy 2,000 Class A Common Shares granted pursuant to the Hickok Incorporated 2010 Outside Directors Stock Option Plan. These options were granted between February 24, 2011 and March 8, 2012, at an exercise price of $2.925, became exercisable between 2012 and 2016 and expire between February 24, 2021 and March 8, 2022. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Smith Kirin
C/O CRAWFORD UNITED CORPORATION
10514 DUPONT AVENUE
CLEVELAND, OH 44108 | X |
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Signatures
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| /s/ Kirin Smith, by Gregory J. Dziak, his attorney-in-fact pursuant to Power of Attorney dated January 3, 2017 on file with the Commission | | 12/31/2019 |
| **Signature of Reporting Person | Date |
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