SEC Form 4 · accession 0001225208-15-009316
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
Mar 31, 2015
Accepted (ET)
Apr 2, 2015 · 5:17 pm EDT
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 | Mar 31, 2015 | A | 3,788 | $10.00 | A | 116,506 | D | |
| CommonF2 | Mar 31, 2015 | P | 400 | $9.955 | A | 116,906 | D | |
| CommonF3 | Apr 2, 2015 | P | 400 | $9.8874 | A | 117,306 | 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
- F1Shares issued pursuant to deferred share award
- F2This purchase occurred under a 10b5-1 Plan entered into in December 2014. On March 31, 2015 the Plan was amended to increase the maximum purchase price to $12.51 per share and the daily limit to 1,000 shares per trading day. The overall limit of 25,000 shares remains unchanged. The changes go into effect no earlier than April 14, 2015.
- F3This purchase occured under a 10b5-1 Plan entered into in December 2014.