SEC Form 4 · accession 0000899243-17-009864
Comstock Holding Companies, Inc. · CHCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert P Pincus
Director
Period of report
Nov 14, 2014
Accepted (ET)
Apr 10, 2017 · 5:03 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 StockF2,F3,F5 | May 12, 2015 | A | 2,857 | $0.00 | A | 17,729 | D | |
| Class A Common StockF1,F5 | Mar 15, 2017 | A | 2,419 | $0.00 | A | 20,148 | D | |
| Class A Common StockF5 | Apr 6, 2017 | P | 11,000 | $1.00 | A | 31,148 | D | |
| Class A Common StockF5,F4 | holding | — | — | — | 1,382 | I | RLR Investment Management LLC |
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 | $7.53 | Nov 12, 2014 | A | 892 | A | May 12, 2015 | Nov 12, 2024 | Class A Common Stock | 892 | 892 | D |
Explanation of responses
- F1These shares were granted for services provided in 2017.
- F2These shares were issued in connection with the Comstock Growth Fund Private Placement offering.
- F3Includes 1,976 shares of Class A Common Stock representing acquisitions in a prior year inadvertantly omitted from previous filings.
- F4These securities are owned directly by RLR Investment Management, LLC ("RLR"). Mr. Pincus is the sole manager of RLR and as such has the power to direct the vote and to direct the disposition of investments owned by RLR. Mr. Pincus, his spouse, and LMP 2005 Trust, a trust established for the benefit of Mr. Pincus's minor son, are the remaining members of RLR. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- 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.