SEC Form 4 · accession 0000785557-16-000124
DLH Holdings Corp. · DLHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathryn M. JohnBull
Officer — Chief Financial Officer
Period of report
Sep 29, 2016
Accepted (ET)
Oct 3, 2016 · 4:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000785557
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 29, 2016 | X | 12,654 | $3.73 | A | 72,654 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2 | $3.73 | Sep 29, 2016 | X | 60,000 | D | Aug 19, 2016 | Sep 21, 2016 | Common Stock | 4,095 | 0 | D |
Explanation of responses
- F1Represents shares of the issuer's common stock purchased by the reporting person from the exercise of her basic subscription rights in the issuer's rights offering issued pro rata to holders of common stock of DLH Holdings Corp. on the August 19, 2016 record date for the rights offering, plus an additional 8,559 shares purchased pursuant to the oversubscription privilege. The closing of the rights offering occurred on September 29, 2016.
- F2Subscription Rights (right to buy)