SEC Form 4 · accession 0000785557-16-000129
DLH Holdings Corp. · DLHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Gerald Wasserman
Director
Period of report
Sep 29, 2016
Accepted (ET)
Oct 3, 2016 · 4:24 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,F2 | Sep 29, 2016 | X | 10,789 | $3.73 | A | 172,914 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF3 | $3.73 | Sep 29, 2016 | X | 158,063 | D | Aug 19, 2016 | Sep 21, 2016 | Common Stock | 10,789 | 0 | D |
Explanation of responses
- F1Represents shares of the issuer's common stock purchased by the reporting person from the exercise of his 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. The closing of the rights offering occurred on September 29, 2016.
- F2Includes issuance of 2,188 shares of common stock upon satisfaction of vesting conditions pursuant to the terms of the restricted stock award granted October 3, 2007. Includes an additional 4,063 shares of unvested restricted stock, of which 1,875 will vest within 60 days.
- F3Subscription Rights (right to buy)