SEC Form 4 · accession 0000899243-17-009858
Comstock Holding Companies, Inc. · CHCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jubal R Thompson
Other
Period of report
Dec 15, 2014
Accepted (ET)
Apr 10, 2017 · 5:00 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 | Mar 31, 2015 | F | 1,150 | $6.44 | D | 56,579 | D | |
| Class A Common StockF5 | Mar 31, 2016 | F | 1,371 | $1.79 | D | 55,208 | D | |
| Class A Common StockF1,F5 | Mar 6, 2017 | A | 65,000 | $0.00 | A | 120,208 | D | |
| Class A Common StockF5 | Apr 6, 2017 | P | 24,998 | $1.00 | A | 145,206 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F5,F2 | $7.63 | Dec 11, 2014 | A | 3,572 | A | — | Dec 11, 2024 | Class A Common Stock | 3,572 | 3,572 | D |
| Employee Stock Option (right to buy)F5,F6 | $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)F5 | $4.97 | holding | — | — | — | Feb 12, 2010 | Feb 12, 2020 | Class A Common Stock | 35,714 | 35,714 | D |
| Employee Stock Option (right to buy)F5 | $7.00 | holding | — | — | — | Dec 15, 2011 | Dec 31, 2017 | Class A Common Stock | 14,285 | 14,285 | D |
| Employee Stock Option (right to buy)F5,F3 | $13.23 | holding | — | — | — | — | Dec 13, 2023 | Class A Common Stock | 10,714 | 10,714 | D |
Explanation of responses
- F1The stock awards were granted on March 6, 2017, and vest in four equal installments commencing in March 2018.
- F2The options vest in four annual equal installments commencing in December 2015.
- F3The options vest in four annual equal installments commencing in December 2014.
- F4Includes 21 shares of Class A Common Stock representing disposals in a prior year inadvertantly omitted from previous filings.
- 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.
- F6The options vest in four annual equal installments commencing in March 2018.