SEC Form 4 · accession 0001209191-18-011872
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
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 3:53 pm EST
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 | Feb 16, 2018 | P | 1,700 | $5.4165 | A | 2,198,681 | I | By JDS1, LLC |
| Common StockF1 | Feb 20, 2018 | P | 6,569 | $5.40 | A | 2,205,250 | I | By JDS1, LLC |
| Common StockF1,F2 | Feb 20, 2018 | X | 10,000 | $7.50 | A | 2,215,250 | I | By JDS1, LLC |
| Common StockF1,F3 | Feb 20, 2018 | X | 5,300 | $7.50 | A | 2,220,550 | 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)F1 | $7.50 | Feb 20, 2018 | X | 56 | D | Oct 16, 2017 | Mar 16, 2018 | Common Stock | 28,800 | 288 | I |
| Put Option (obligation to buy)F1 | $7.50 | Feb 20, 2018 | X | 97 | D | Oct 17, 2017 | Mar 16, 2018 | Common Stock | 32,600 | 326 | I |
| Put Option (obligation to buy)F1 | $5.00 | holding | — | — | — | Oct 18, 2017 | Mar 16, 2018 | Common Stock | 293,900 | 2,939 | I |
| Put Option (obligation to buy)F1 | $7.50 | holding | — | — | — | Dec 22, 2017 | Jun 15, 2018 | Common Stock | 14,000 | 140 | I |
| Put Option (obligation to buy)F1 | $7.50 | holding | — | — | — | Nov 1, 2017 | Jun 15, 2018 | Common Stock | 20,000 | 200 | I |
| Put Option (obligation to buy)F1 | $5.00 | holding | — | — | — | Oct 27, 2017 | Jun 15, 2018 | Common Stock | 5,000 | 50 | I |
| Put Option (obligation to buy)F1 | $7.50 | holding | — | — | — | Oct 30, 2017 | Jun 15, 2018 | Common Stock | 30,000 | 300 | I |
| Put Option (obligation to buy)F1 | $7.50 | holding | — | — | — | Oct 31, 2017 | Jun 15, 2018 | Common Stock | 10,000 | 100 | I |
Explanation of responses
- F1The 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.
- F2On February 20, 2018, the counterparty to put options written on October 16, 2017 and October 17, 2017 by JDS1, LLC exercised such options without any action taken by JDS1, LLC.
- F3On February 20, 2018, the counterparty to put options written on October 16, 2017 by JDS1, LLC exercised such options without any action taken by JDS1, LLC.