SEC Form 4 · accession 0000899243-17-009859
Comstock Holding Companies, Inc. · CHCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A Clayton Perfall
Director
Period of report
Nov 19, 2014
Accepted (ET)
Apr 10, 2017 · 5:01 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 StockF1,F2 | May 12, 2015 | A | 2,285 | $0.00 | A | 2,285 | I | By A Clayton Perfall Revocable Trust |
| Class A Common StockF3,F2 | Mar 15, 2017 | A | 2,839 | $0.00 | A | 56,115 | 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 StockF4,F2 | $7.46 | Nov 17, 2014 | A | 714 | A | May 17, 2015 | Nov 17, 2024 | Class A Common Stock | 714 | 714 | I |
Explanation of responses
- F1These shares were issued in connection with the Comstock Growth Fund Private Placement offering.
- F2The 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.
- F3These shares were granted for services provided in 2017.
- F4These warrants were issued in connection with the Comstock Growth Fund Private Placement offering.