SEC Form 4 · accession 0000088000-15-000002
Horizon Kinetics Holding Corp · HKHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald J Laber
Director
Period of report
May 21, 2015
Accepted (ET)
May 22, 2015 · 12:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000088000
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 21, 2015 | M | 3,125 | $0.23 | A | 3,125 | D | |
| Common Stock | May 21, 2015 | M | 5,625 | $0.20 | A | 5,625 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock OptionsF1 | $0.23 | May 21, 2015 | M | 3,125 | D | — | Aug 9, 2015 | Common Stock | 3,125 | 0 | D |
| Non-qualified Stock OptionsF2 | $0.20 | May 21, 2015 | M | 5,625 | D | — | Dec 13, 2015 | Common Stock | 5,625 | 0 | D |
Explanation of responses
- F1Option vests 1/48 of the shares each month after 08/10/2010.
- F2Option vests 1/48 of the shares each month after 12/14/2010.