SEC Form 4 · accession 0001628280-17-009338
DLH Holdings Corp. · DLHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Wilson
Officer — President, DLH Solutions
Period of report
Sep 13, 2017
Accepted (ET)
Sep 15, 2017 · 12:44 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 Stock | Sep 13, 2017 | M | 150,000 | $1.66 | A | 317,413 | D | |
| Common Stock | Sep 13, 2017 | M | 75,000 | $1.395 | A | 392,413 | D | |
| Common Stock | Sep 13, 2017 | F | 57,407 | $6.16 | D | 335,006 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF1 | $1.66 | Sep 13, 2017 | M | 150,000 | D | Sep 28, 2011 | Sep 28, 2021 | Common Stock | 150,000 | 0 | D |
| Employee Stock OptionF2 | $1.395 | Sep 13, 2017 | M | 75,000 | D | — | Nov 8, 2023 | Common Stock | 75,000 | 0 | D |
Explanation of responses
- F1Of the options granted to the reporting person, 50,000 vested on the date of grant and the balance became vested and exercisable upon satisfaction of vesting conditions.
- F2The options granted to the reporting person became vested and exercisable upon satisfaction of vesting conditions.