SEC Form 4 · accession 0000088000-16-000011
Horizon Kinetics Holding Corp · HKHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip A Neri
Director
Period of report
Apr 13, 2016
Accepted (ET)
Apr 15, 2016 · 12:52 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 | Apr 13, 2016 | M | 1,875 | $0.37 | A | 52,862 | D | |
| Common Stock | Apr 13, 2016 | M | 5,325 | $0.468 | A | 58,187 | 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 Option (right to buy)F1 | $0.37 | Apr 13, 2016 | M | 1,875 | D | — | Aug 19, 2016 | Common Stock | 1,875 | 0 | D |
| Non-qualified Stock Option (right to buy)F2 | $0.468 | Apr 13, 2016 | M | 5,325 | D | — | Jul 23, 2018 | Common Stock | 5,325 | 1,813 | D |
Explanation of responses
- F1Option vests 1/48 of the shares each month after 08/19/2011.
- F2Option vests 1/48 of the shares each month after 07/24/2013.