SEC Form 4 · accession 0001179110-17-008182
AV Homes, Inc. · AVHI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Einiger
Director
Period of report
May 25, 2017
Accepted (ET)
May 30, 2017 · 4:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000039677
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 25, 2017 | M | 3,673 | $0.00 | A | 32,216 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | — | May 25, 2017 | M | 3,673 | D | May 25, 2017 | May 25, 2017 | Common Stock | 3,673 | 0 | D |
Explanation of responses
- F1Shares received in settlement of restricted stock units in a transaction exempt pursuant to Rule 16b-3(d) under the Securities Exchange Act of 1934.
- F2The units convert to Common Stock of the issuer on a 1-for-1 basis.