SEC Form 4 · accession 0001628280-18-015305
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
Dec 18, 2018
Accepted (ET)
Dec 19, 2018 · 5:40 pm EST
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 | Dec 18, 2018 | M | 10,000 | $1.34 | A | 112,654 | 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 OptionsF1 | $1.34 | Dec 18, 2018 | M | 10,000 | D | Jun 25, 2012 | Jun 25, 2022 | Common Stock | 10,000 | 223,000 | D |
Explanation of responses
- F1(1) The option, initially representing a right to purchase a total of 250,000 shares, became exercisable for 50,000 shares on June 25, 2012. Of the remaining shares subject to this option, 66,666 shares remain subject to additional vesting requirements.