SEC Form 4 · accession 0001225208-15-001193
MMA Capital Holdings, Inc. · MMAC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary A Mentesana
Officer — Executive Vice President
Period of report
Sep 29, 2014
Accepted (ET)
Jan 9, 2015 · 4:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001003201
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | Sep 29, 2014 | J | 0 | $9.20 | D | 88,799 | D | |
| CommonF2 | Jan 6, 2015 | P | 300 | $9.43 | A | 89,099 | D | |
| Common | Jan 8, 2015 | P | 200 | $9.465 | A | 89,299 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase common shares | $1.35 | holding | — | — | — | Jan 7, 2010 | Jan 7, 2020 | Common | 70,000 | 70,000 | D |
| Options to purchase common shares | $1.80 | holding | — | — | — | Mar 29, 2012 | Mar 29, 2022 | Common | 100,000 | 100,000 | D |
Explanation of responses
- F1Share adjustment resulting from the reverse stock split
- F2This is the initial purchase of shares pursuant to a 10b5-1 Plan. The plan will terminate at the earlier of December 31, 2016 or the date on which Mr. Mentesana has acquired 18,000 shares under the Plan. The Plan is subject to safe harbor volume limitations and will use a maximum price equal to the price employed by the Company for its share repurchase program.