SEC Form 4 · accession 0001615774-17-003039
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 31, 2017
Accepted (ET)
Jun 7, 2017 · 6:43 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 | Jun 7, 2017 | P | 1,000 | $0.9985 | A | 4,214 | D |
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)F2 | $1.02 | May 31, 2017 | A | 3,947 | A | — | May 30, 2027 | Common Stock | 3,947 | 65,787 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in the open market in multiple transactions at prices ranging from $0.997 to $1.00, inclusive. The reporting person undertakes to provide to the Spherix Incorporated (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F250% of the options vest on May 31, 2017 and the remaining 50% shall vest on May 31, 2018.