SEC Form 4 · accession 0000909108-18-000035
DIAMOND HILL INVESTMENT GROUP INC · DHIL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Edward Line
Officer — Chief Financial Officer
Period of report
Apr 2, 2018
Accepted (ET)
Apr 2, 2018 · 12:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000909108
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CommonF1 | Apr 2, 2018 | M | 3,000 | $0.00 | A | 9,328 | D | |
| CommonF2 | Apr 2, 2018 | F | 1,406 | $0.00 | D | 7,922 | D | |
| Common | holding | — | — | — | 563 | I | By 401k |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F3 | — | Apr 2, 2018 | C | 3,000 | D | — | — | Common | 3,000 | 3,000 | D |
Explanation of responses
- F1Reflects vesting of 3,000 Restricted Stock Units ("RSUs")
- F2Represents shares withheld to pay taxes associated with vested RSUs.
- F3Remaining RSUs under this award shall vest and convert into 3,000 shares of common stock on April 1, 2019 subject to continuous service through the vesting date. Upon vesting, the shares shall be restricted from sale for a five year period.