SEC Form 4 · accession 0000909143-15-000042
Ashford Inc. · AINC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Mauldin
Director
Period of report
Sep 23, 2015
Accepted (ET)
Sep 25, 2015 · 3:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001604738
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 23, 2015 | J | 394 | $63.37 | A | 394 | I | By Mauldin Management Defined Benefit Cash Balance Plan & Trust FBO Pooled Account dated 1/1/2010 |
| Common StockF2 | Sep 23, 2015 | J | 394 | $63.37 | A | 394 | I | By Business Marketing Group Defined Benefit Cash Balance Plan & Trust dated 12/27/2010 |
| Common Stock | holding | — | — | — | 1,423 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were acquired and are held directly by the Mauldin Management Defined Benefit Cash Balance Plan & Trust FBO Pooled Account dated 1/1/2010, of which the Reporting Person is a trustee and a participant. The Reporting Person disclaims ownership of such shares except to the extent of his pecuniary interest therein.
- F2The shares were acquired and are held directly by the Business Marketing Group Defined Benefit Cash Balance Plan & Trust dated 12/27/2010, of which the Reporting Person is a trustee and a participant. The Reporting Person disclaims ownership of such shares except to the extent of his pecuniary interest therein.