SEC Form 4 · accession 0001225208-16-040810
EMMIS COMMUNICATIONS CORP · EMMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey H Smulyan
Officer — Chairman,CEO · Director · 10% Owner · Other
Period of report
Oct 26, 2016
Accepted (ET)
Oct 28, 2016 · 4:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000783005
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Oct 26, 2016 | M | 15,597 | $1.18 | A | 121,231 | D | |
| Class A Common Stock | Oct 26, 2016 | M | 2,102 | $2.80 | A | 123,333 | D | |
| Class A Common Stock | Oct 26, 2016 | S | 2,102 | $3.70 | D | 121,231 | D | |
| Class A Common Stock | Oct 26, 2016 | S | 15,597 | $3.70 | D | 105,634 | D | |
| Class A Common Stock | Oct 27, 2016 | M | 8,849 | $2.80 | A | 114,483 | D | |
| Class A Common StockF1 | Oct 27, 2016 | S | 8,849 | $3.70 | D | 105,634 | D | |
| Class A Common Stock | holding | — | — | — | 2,720 | I | By 401(k) Plan | |
| Class A Common Stock | holding | — | — | — | 2,780 | I | By Trusts for Children |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option Right To Buy | $2.80 | Oct 26, 2016 | M | 2,102 | D | Mar 1, 2013 | Mar 1, 2022 | Class A Common Stock | 2,102 | 35,398 | D |
| Employee Stock Option Right To Buy | $1.18 | Oct 26, 2016 | M | 15,597 | D | Mar 2, 2012 | Mar 2, 2019 | Class A Common Stock | 15,597 | 0 | D |
| Employee Stock Option Right To Buy | $2.80 | Oct 27, 2016 | M | 8,849 | D | Mar 1, 2013 | Mar 1, 2022 | Class A Common Stock | 8,849 | 26,549 | D |
Explanation of responses
- F1Reflects adjustments made following implementation of the reverse stock split on July 8, 2016.