SEC Form 4 · accession 0000899243-17-009866
Comstock Holding Companies, Inc. · CHCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Guernsey
Director
Period of report
Jan 16, 2015
Accepted (ET)
Apr 10, 2017 · 5:04 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 StockF3,F4 | May 12, 2015 | A | 5,714 | $0.00 | A | 33,942 | D | |
| Class A Common StockF2,F4 | Dec 18, 2015 | A | 7,664 | $0.00 | A | 41,606 | D | |
| Class A Common StockF1,F4 | Mar 15, 2017 | A | 2,313 | $0.00 | A | 43,919 | D | |
| Class A Common StockF4 | Apr 6, 2017 | P | 10,000 | $1.00 | A | 53,919 | 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 StockF5,F4 | $7.63 | Jan 14, 2015 | A | 3,571 | A | Jul 14, 2015 | Jan 14, 2025 | Class A Common Stock | 3,571 | 3,571 | D |
Explanation of responses
- F1These shares were granted for services provided in 2017.
- F2These shares were granted for services provided in 2015.
- F3These shares 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.
- F5These warrants were issued in connection with the Comstock Growth Fund Private Placement offering.