Form 4 Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio

4 - Statement of changes in beneficial ownership of securities

Published: 2015-12-24 11:25:37
Submitted: 2015-12-24
Period Ending In: 2015-12-23
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SEC FORM 4

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
X
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio

(Last) (First) (Middle)
C/O WELLINGTON TRUST COMPANY, NA
280 CONGRESS STREET

(Street)
BOSTON MA 02210

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Deep Down, Inc. [ DPDW ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/23/2015
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/23/2015 S 44,420 D $0.4 1,732,380 D
Common Stock 12/23/2015 S 932,826 D $0.38 799,554 D
Common Stock 12/23/2015 S 6,898 D $0.3908 792,656 D
Common Stock 12/23/2015 S 18,656 D $0.39 774,000 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Explanation of Responses:
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio By: Wellington Trust Company, NA, its investment adviser By: /s/John Bruno, Title: Senior Managing Director and Counsel 12/24/2015
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
1
a4.xml 4
Schema Version:
X0306
Document Type:
4
Period Of Report:
2015-12-23
Not Subject To Section16:
1

Issuer

Issuer Cik
0001110607
Issuer Name
Deep Down, Inc.
Issuer Trading Symbol
DPDW

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001600473
Rpt Owner Name
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio

Reporting Owner Address

Rpt Owner Street1
C/O WELLINGTON TRUST COMPANY, NA
Rpt Owner Street2
280 CONGRESS STREET
Rpt Owner City
BOSTON
Rpt Owner State
MA
Rpt Owner Zip Code
02210

Reporting Owner Relationship

Is Director
0
Is Officer
0
Is Ten Percent Owner
1
Is Other
0

Non Derivative Transaction

Security Title
Common Stock
Transaction Date
2015-12-23

Transaction Coding

Transaction Form Type
4
Transaction Code
S
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
44420
Transaction Price Per Share
0.40
Transaction Acquired Disposed Code
D
Shares Owned Following Transaction
1732380
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2015-12-23

Transaction Coding

Transaction Form Type
4
Transaction Code
S
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
932826
Transaction Price Per Share
0.38
Transaction Acquired Disposed Code
D
Shares Owned Following Transaction
799554
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2015-12-23

Transaction Coding

Transaction Form Type
4
Transaction Code
S
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
6898
Transaction Price Per Share
0.3908
Transaction Acquired Disposed Code
D
Shares Owned Following Transaction
792656
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2015-12-23

Transaction Coding

Transaction Form Type
4
Transaction Code
S
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
18656
Transaction Price Per Share
0.39
Transaction Acquired Disposed Code
D
Shares Owned Following Transaction
774000
Direct Or Indirect Ownership
D

Owner Signature

Signature Name
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio By: Wellington Trust Company, NA, its investment adviser By: /s/John Bruno, Title: Senior Managing Director and Counsel
Signature Date
2015-12-24
Additional Files
FileSequenceDescriptionTypeSize
0001104659-15-086729.txt   Complete submission text file   9583
$DPDW

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