SEC Form 4 · accession 0000088000-17-000002
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
May 18, 2017
Accepted (ET)
May 18, 2017 · 3:14 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 18, 2017 | M | 1,813 | $0.468 | A | 30,000 | D | |
| Common Stock | May 18, 2017 | M | 2,000 | $0.792 | A | 2,000 | 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) | $0.468 | May 18, 2017 | M | 1,813 | D | Jul 24, 2013 | Jul 23, 2018 | Common Stock | 1,813 | 0 | D |
| Non-qualified Stock Option (right to buy)F1 | $0.792 | May 18, 2017 | M | 2,000 | D | — | Jun 3, 2019 | Common Stock | 2,000 | 28,000 | D |
Explanation of responses
- F1Option vests 1/48 of the shares each month after 06/04/2014.