SEC Form 4 · accession 0000943663-18-000229
DITECH HOLDING Corp · DHCP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel Martini
10% Owner
Period of report
Dec 17, 2018
Accepted (ET)
Dec 19, 2018 · 8:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001040719
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 17, 2018 | S | 276,966 | $0.0611 | D | 0 | I | By LLC |
| Common Stock | Dec 17, 2018 | S | 60,507 | $0.0611 | D | 0 | I | By Family Member |
| Common Stock | Dec 17, 2018 | S | 60,511 | $0.0611 | D | 0 | I | By Family Member |
| Common Stock | Dec 17, 2018 | S | 33,715 | $0.0611 | D | 0 | I | By Family Member |
| Common Stock | Dec 17, 2018 | S | 2,617 | $0.0611 | D | 0 | D | |
| Common Stock | Dec 17, 2018 | S | 30,000 | $0.0611 | D | 0 | I | By Family Member |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A WarrantsF1 | $20.63 | Dec 17, 2018 | S | 7,036 | D | Feb 9, 2018 | Feb 9, 2028 | Common Stock, $0.01 Par Value per Share | 7,036 | 0 | I |
| Series A Warrants | $20.63 | Dec 17, 2018 | S | 4,459 | D | Feb 9, 2018 | Feb 9, 2028 | Common Stock, $0.01 Par Value per Share | 4,459 | 0 | D |
| Mandatorily Convertible PreferredF1,F2 | — | Dec 18, 2018 | S | 360 | D | Feb 9, 2018 | Feb 9, 2023 | Common Stock, $0.01 Par Value per Share | 41,391 | 0 | I |
Explanation of responses
- F1The securities are held in the account of a limited liability company organized under the laws of the State of Delaware in which the Reporting Person is the controlling member.
- F2Convertible based upon a conversion multiple of 114.9750 as disclosed in Exhibit 3.1 to the Issuer's Form 8-K filed on February 13, 2018.