SEC Form 4 · accession 0000950142-16-004428
DHI GROUP, INC. · DHX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shravan Goli
Officer — BrightMatter Group President
Period of report
Sep 2, 2016
Accepted (ET)
Sep 7, 2016 · 5:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001393883
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 2, 2016 | M | 5,571 | $7.13 | A | 163,019 | D | |
| Common StockF2 | Sep 2, 2016 | S | 5,571 | $8.0035 | D | 157,448 | D | |
| Common Stock | Sep 6, 2016 | M | 7,375 | $7.13 | A | 164,823 | D | |
| Common StockF3 | Sep 6, 2016 | S | 7,375 | $8.0186 | D | 157,448 | D | |
| Common Stock | Sep 7, 2016 | M | 3,929 | $7.13 | A | 161,377 | D | |
| Common StockF4 | Sep 7, 2016 | S | 3,929 | $8.0001 | D | 157,448 | 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 | $7.13 | Sep 2, 2016 | M | 5,571 | D | — | Feb 19, 2021 | Common Stock | 5,571 | 56,304 | D |
| Employee Stock Option (Right to Buy)F5 | $7.13 | Sep 6, 2016 | M | 7,375 | D | — | Feb 19, 2021 | Common Stock | 7,375 | 48,929 | D |
| Employee Stock Option (Right to Buy)F5 | $7.13 | Sep 7, 2016 | M | 3,929 | D | — | Feb 19, 2021 | Common Stock | 3,929 | 45,000 | D |
Explanation of responses
- F1These shares were sold pursuant to a Rule 10b5-1 trading plan.
- F2The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $8.00 to $8.03. Upon request of the staff of the Securities and Exchange Commission, DHI Group, Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price.
- F3The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $8.00 to $8.05. Upon request of the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price.
- F4The sale price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $8.00 to $8.005. Upon request of the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price.
- F5This grant (initially consisting of 90,000 employee stock options) was granted on February 19, 2014 and has a vesting schedule of four years, with the first 25% of the grant vesting on the first anniversary of the date of grant and 6.25% vesting quarterly thereafter.