SEC Form 4 · accession 0000088000-15-000010
Horizon Kinetics Holding Corp · HKHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark E Goldstein
Officer — COB/President/CEO · Director · 10% Owner
Period of report
Dec 9, 2015
Accepted (ET)
Dec 11, 2015 · 5:42 pm EST
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 | Dec 9, 2015 | M | 18,400 | $0.2211 | A | 547,222 | D | |
| Common StockF1 | holding | — | — | — | 2,126,473 | I | By Goldstein Family Partnership, Ltd. | |
| Common StockF1 | holding | — | — | — | 140,960 | I | By ESOP | |
| Common StockF1 | holding | — | — | — | 86,670 | I | By Children | |
| Common StockF1 | holding | — | — | — | 26,390 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2 | $0.2211 | Dec 9, 2015 | M | 18,400 | D | — | Dec 13, 2015 | Common Stock | 18,400 | 0 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F2Option vested 1/48 of the shares each month after 12/24/2010, the date of grant.