SEC Form 4 · accession 0001615774-17-005208
AFH Acquisition IX, Inc.
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
AFH Holding & Advisory, LLC
10% Owner
Amir F Heshmatpour
Officer — President and Secretary · Director · 10% Owner
Period of report
Aug 30, 2017
Accepted (ET)
Sep 19, 2017 · 4:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001419556
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 30, 2017 | J | 5,000,000 | $0.15 | D | 0 | I | By AFH Holding & Advisory, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1AFH Holding & Advisory LLC ("AFH Holding") owned the reported securities of the issuer directly. Mr. Heshmatpour, as the sole economic member and managing director of AFH Holding, had sole voting and investment power over the shares held by AFH Holding and may be deemed to have had an indirect interest in the reporting securities.