SEC Form 4 · accession 0000899243-17-009855
Comstock Holding Companies, Inc. · CHCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Maccutcheon
Director
Period of report
Nov 20, 2014
Accepted (ET)
Apr 10, 2017 · 4:58 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF4,F5 | May 12, 2015 | A | 6,857 | $0.00 | A | 46,419 | D | |
| Class A Common StockF3,F5 | Dec 17, 2015 | A | 4,005 | $0.00 | A | 50,424 | D | |
| Class A Common StockF2,F5 | Dec 15, 2016 | A | 6,252 | $0.00 | A | 56,676 | D | |
| Class A Common StockF1,F5 | Mar 15, 2017 | A | 2,418 | $0.00 | A | 59,094 | D | |
| Class A Common StockF5 | Apr 6, 2017 | P | 54,605 | $1.00 | A | 113,699 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| A warrant to purchase Class A Common StockF6,F5 | $7.30 | Nov 18, 2014 | A | 4,285 | A | May 18, 2015 | Nov 18, 2024 | Class A Common Stock | 4,285 | 4,285 | D |
Explanation of responses
- F1These shares were granted for services provided in 2017.
- F2These shares were granted for services provided in 2016.
- F3These shares were granted for services provided in 2015.
- F4These shares were issued in connection with the Comstock Growth Fund Private Placement offering.
- F5The 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.
- F6These warrants were issued in connection with the Comstock Growth Fund Private Placement offering.