SEC Form 4 · accession 0001179110-17-011700
IMPAC MORTGAGE HOLDINGS INC · IMH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Tomkinson
Officer — Chairman, Chief Exec. & Dir. · Director
Period of report
Aug 18, 2017
Accepted (ET)
Aug 21, 2017 · 4:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001000298
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 18, 2017 | M | 35,000 | $5.39 | A | 250,400 | I | Trust |
| Common Stock | Aug 18, 2017 | M | 5,000 | $0.53 | A | 255,400 | I | Trust |
| Common Stock | holding | — | — | — | 769 | D | ||
| Common Stock | holding | — | — | — | 5,955 | I | 401K | |
| Common Stock | holding | — | — | — | 1,130 | I | IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1 | $0.53 | Aug 18, 2017 | M | 5,000 | D | Jun 9, 2010 | Jun 9, 2019 | Common Stock | 5,000 | 6,321 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.39 | Aug 18, 2017 | M | 35,000 | D | Jul 22, 2015 | Jul 22, 2024 | Common Stock | 35,000 | 3,500 | D |
| Non-Qualified Stock Option (right to buy)F1 | $2.73 | holding | — | — | — | Dec 3, 2011 | Dec 3, 2020 | Common Stock | 48,000 | 48,000 | D |
| Non-Qualified Stock Option (right to buy)F1 | $13.81 | holding | — | — | — | Nov 27, 2013 | Nov 27, 2022 | Common Stock | 29,250 | 29,250 | D |
| Non-Qualified Stock Option (right to buy)F2 | $10.65 | holding | — | — | — | Jul 23, 2014 | Jul 23, 2023 | Common Stock | 25,000 | 25,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $20.50 | holding | — | — | — | Jul 21, 2016 | Jul 21, 2025 | Common Stock | 34,200 | 34,200 | D |
| Non-Qualified Stock Option (right to buy)F5 | $17.40 | holding | — | — | — | Jul 19, 2017 | Jul 19, 2026 | Common Stock | 32,000 | 32,000 | D |
Explanation of responses
- F1These options are fully vested
- F2These options vest annually in 1/3 increments beginning on July 23, 2014.
- F3These options vest annually in 1/3 increments beginning on July 22, 2015.
- F4These options vest annually in 1/3 increments beginning on July 21, 2016.
- F5These options vest annually in 1/3 increments beginning on July 19, 2017.