SEC Form 4 · accession 0001615774-15-002109
Dominari Holdings Inc. · DOMH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Ballabon
Director
Period of report
Aug 5, 2015
Accepted (ET)
Aug 7, 2015 · 4:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000012239
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $1.73 | Aug 5, 2015 | A | 75,000 | A | — | Jun 8, 2019 | Common Stock | 75,000 | 75,000 | D |
| Stock Option (right to buy)F2 | $0.22 | Aug 5, 2015 | A | 75,000 | A | — | Aug 4, 2020 | Common Stock | 75,000 | 150,000 | D |
Explanation of responses
- F150% of the option vested on June 9, 2014 and the remaining 50% vested on June 9, 2015.
- F250% of the options vest on August 5, 2015 and the remaining 50% shall vest on August 5, 2016.