SEC Form 4 · accession 0000899243-17-009851

Comstock Holding Companies, Inc. · CHCI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Apr 2, 2014

Accepted (ET)

Apr 10, 2017 · 4:55 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001299969

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Class A Common Stock^F4	Mar 31, 2014	F	1,441	$11.27	D	44,192	D
Class A Common Stock^F4	Mar 31, 2015	F	1,264	$6.44	D	42,928	D
Class A Common Stock^F2,F4	May 12, 2015	A	11,428	$0.00	A	54,356	D
Class A Common Stock^F5,F4	Dec 16, 2015	J	3,571	$0.00	D	50,785	D
Class A Common Stock^F1,F4	Mar 6, 2017	A	50,000	$0.00	A	100,785	D
Class A Common Stock^F4	Apr 6, 2017	P	54,605	$1.00	A	155,390	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F7,F4	$7.63	Dec 11, 2014	A	3,572	A	Dec 15, 2015	Dec 11, 2024	Class A Common Stock	3,572	3,572	D
A warrant to purchase Class A Common Stock^F3,F4	$7.30	Dec 18, 2014	A	7,142	A	Jun 18, 2015	Dec 18, 2024	Class A Common Stock	7,142	7,142	D
Employee Stock Option (right to buy)^F4,F5	$7.63	Dec 16, 2015	J	2,679	D	—	—	Class A Common Stock	2,679	893	D
Employee Stock Option (right to buy)^F4,F5	$13.23	Dec 16, 2015	J	8,037	D	—	—	Class A Common Stock	8,037	2,679	D
Employee Stock Option (right to buy)^F6,F4	$2.14	Mar 6, 2017	A	32,500	A	—	Mar 6, 2027	Class A Common Stock	32,500	32,500	D
Employee Stock Option (right to buy)^F4	$11.83	holding	—	—	—	Aug 18, 2010	Aug 18, 2020	Class A Common Stock	14,285	14,285	D
Employee Stock Option (right to buy)^F4	$7.56	holding	—	—	—	Aug 26, 2015	Aug 31, 2021	Class A Common Stock	14,285	14,285	D
Employee Stock Option (right to buy)^F4	$13.23	holding	—	—	—	Dec 15, 2015	Dec 13, 2023	Class A Common Stock	10,716	10,716	D

F1The stock awards were granted on March 6, 2017, and vest in four equal installments commencing in March 2018.
F2These shares were issued in connection with the Comstock Growth Fund Private Placement offering.
F3These warrants were issued in connection with the Comstock Growth Fund Private Placement offering.
F4The totals listed in Column 5 of Table I and Column 9 of Table II of this Form 5 reflect a 7-for-1 reverse stock split that occurred with respect to Comstock's common stock on September 25, 2015.
F5Represents unvested options/restricted shares at the time of the Officer's termination of employment.
F6The options vest in four annual equal installments commencing in March 2018.
F7The options vest in four annual equal installments commencing in December 2015.