SEC Form 4 · accession 0001615774-17-002766
Dominari Holdings Inc. · DOMH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Hayes
Officer — Chief Executive Officer · Director
Period of report
May 20, 2016
Accepted (ET)
May 26, 2017 · 5:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000012239
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.0001 par value per shareF1 | May 20, 2016 | A | 118,512 | $0.00 | A | 119,726 | D | |
| Common Stock, $.0001 par value per shareF2 | Dec 31, 2016 | D | 59,256 | $0.00 | D | 60,470 | D | |
| Common Stock, $.0001 par value per shareF3 | Mar 14, 2017 | F | 23,287 | $1.11 | D | 37,183 | D | |
| Common Stock, $.0001 par value per share | May 26, 2017 | P | 2,000 | $0.97 | A | 41,183 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On May 20, 2016, the Reporting Person was granted 118,512 restricted stock units ("RSUs") under the Spherix Incorporated (the "Company") 2014 Equity Incentive Plan, of which 59,256 RSUs vested on December 31, 2016.
- F2As of December 31, 2016, 59,256 RSUs were forfeited.
- F3On March 14, 2017, 35,969 RSUs were delivered to the Reporting Person. 23,287 shares of common stock were withheld (at the closing price of the Company's common stock on the NASDAQ Capital Market on March 14, 2017) to satisfy the tax obligation relating to the vesting of the RSUs pursuant to Section 16b-3 under the Securities Exchange Act of 1934, as amended.