SEC Form 4 · accession 0001209191-17-057308
CCUR Holdings, Inc. · CCUR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julian D. Singer
10% Owner
Period of report
Sep 15, 2017
Accepted (ET)
Oct 18, 2017 · 4:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000749038
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 15, 2017 | X | 50,000 | $7.50 | A | 1,422,379 | I | By JDS1, LLC |
| Common StockF2 | Oct 16, 2017 | P | 10,000 | $6.26 | A | 1,432,379 | I | By JDS1, LLC |
| Common StockF2 | Oct 16, 2017 | P | 6,040 | $6.159 | A | 1,438,419 | I | By JDS1, LLC |
| Common StockF2 | Oct 16, 2017 | P | 50,000 | $6.2258 | A | 1,488,419 | I | By JDS1, LLC |
| Common StockF2 | Oct 17, 2017 | P | 220,000 | $6.25 | A | 1,708,419 | I | By JDS1, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Put Option (obligation to buy)F2 | $7.50 | Sep 15, 2017 | X | 500 | D | May 15, 2017 | Sep 15, 2017 | Common Stock | 50,000 | 0 | I |
| Put Option (obligation to buy)F2,F3 | $5.00 | Sep 15, 2017 | E | 250 | D | May 16, 2017 | Sep 15, 2017 | Common Stock | 25,000 | 0 | I |
| Put Option (obligation to buy)F2 | $7.50 | Oct 16, 2017 | S | 500 | D | Oct 16, 2017 | Mar 16, 2018 | Common Stock | 50,000 | 500 | I |
| Put Option (obligation to buy)F2 | $7.50 | Oct 16, 2017 | S | 200 | D | Oct 16, 2017 | Mar 16, 2018 | Common Stock | 20,000 | 200 | I |
| Put Option (obligation to buy)F2 | $7.50 | Oct 17, 2017 | S | 423 | D | Oct 17, 2017 | Mar 16, 2018 | Common Stock | 42,300 | 423 | I |
| Put Option (obligation to buy)F2 | $5.00 | holding | — | — | — | May 15, 2017 | Dec 15, 2017 | Common Stock | 25,000 | 250 | I |
Explanation of responses
- F1On September 15, 2017, the counterparty to put options written on May 15, 2017 by JDS1, LLC exercised such options without any action taken by JDS1, LLC. The reporting person inadvertently failed to report such exercise by such counterparty.
- F2The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this filing.
- F3On September 15, 2017, put options written on May 16, 2017 by JDS1, LLC expired. The reporting person inadvertently failed to report such expiration.