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ROSEN STEVEN
Date Filed :
Dec 20, 2019
View Exhibits
X0306
4
2019-12-18
0
0000047307
CRAWFORD UNITED Corp
CRAWA
0001545202
Rosen Steven
25101 CHAGRIN BOULEVARD
SUITE 350
BEACHWOOD
OH
44122
1
0
1
0
Class B Common Shares
2019-12-18
4
C
0
75000
1.43
A
170000
I
See Footnote
Class A Common Shares
2019-12-18
4
C
0
251489
1.43
A
672407
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
The securities reported herein are owned directly by Roundball LLC, an Ohio limited liability company. The 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 of 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 ot 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 convertiable note into 75,000 Class B Common Shares and 251,489 Class A Common Shares.
/s/ Steven Rosen, by Kelly J. Marek, his attorney-in-fact, pursuant to Power of Attorney dated December 11, 2019, on file with the Commission
2019-12-20
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