SEC Form 4 · accession 0001225208-15-001194
MMA Capital Holdings, Inc. · MMAC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael L Falcone
Officer — CEO and President · Director
Period of report
Sep 29, 2014
Accepted (ET)
Jan 9, 2015 · 4:32 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 | 104,628 | D | |
| CommonF2 | Jan 6, 2015 | P | 400 | $9.45 | A | 105,028 | D | |
| Common | Jan 8, 2015 | P | 300 | $9.46 | A | 105,328 | 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 | $1.80 | holding | — | — | — | Apr 24, 2012 | Apr 24, 2022 | Common | 140,000 | 140,000 | D |
| Options to purchase common shares | $1.15 | holding | — | — | — | May 10, 2010 | May 10, 2020 | Common | 100,000 | 100,000 | D |
Explanation of responses
- F1Share adjustment resulting from a 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. Falcone has acquired 25,000 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.