Filing Details
- Accession Number:
- 0000899243-17-009850
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-04-10 16:55:22
- Reporting Period:
- 2014-04-02
- Filing Date:
- 2017-04-10
- Accepted Time:
- 2017-04-10 16:55:22
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1299969 | Comstock Holding Companies Inc. | CHCI | Operative Builders (1531) | 201164345 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1311081 | Christopher Clemente | 1886 Metro Center Drive, 4Th Floor Reston VA 20190 | Chairman And Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class B Common Stock | Acquisiton | 2017-04-06 | 25,000 | $1.00 | 220,250 | No | 4 | P | Direct | |
Class A Common Stock | Disposition | 2014-03-31 | 1,725 | $11.27 | 245,748 | No | 4 | F | Direct | |
Class A Common Stock | Disposition | 2014-12-31 | 3,546 | $7.21 | 242,202 | No | 4 | F | Direct | |
Class A Common Stock | Disposition | 2015-03-31 | 1,725 | $6.44 | 240,477 | No | 4 | F | Direct | |
Class A Common Stock | Disposition | 2016-03-31 | 2,058 | $1.79 | 238,419 | No | 4 | F | Direct | |
Class A Common Stock | Acquisiton | 2015-05-12 | 8,000 | $0.00 | 23,984 | No | 4 | A | Indirect | By Spouse |
Class A Common Stock | Acquisiton | 2015-05-12 | 85,714 | $0.00 | 85,714 | No | 4 | A | Indirect | By Comstock Development Services, LLC |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | F | Direct | |
No | 4 | F | Direct | |
No | 4 | F | Direct | |
No | 4 | F | Direct | |
No | 4 | A | Indirect | By Spouse |
No | 4 | A | Indirect | By Comstock Development Services, LLC |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2014-12-11 | 3,572 | $0.00 | 3,572 | $7.63 |
Class A Common Stock | A warrant to purchase Class A Common Stock | Acquisiton | 2016-08-15 | 150,000 | $0.00 | 150,000 | $1.76 |
Class A Common Stock | A warrant to purchase Class A Common Stock | Disposition | 2015-03-14 | 3,571 | $0.00 | 3,571 | $0.00 |
Class A Common Stock | A warrant to purchase Class A Common Stock | Disposition | 2015-03-12 | 7,857 | $0.00 | 7,857 | $0.00 |
Class A Common Stock | A warrant to purchase Class A Common Stock | Acquisiton | 2015-01-12 | 5,000 | $0.00 | 5,000 | $7.63 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
3,572 | 2024-12-11 | No | 4 | A | Direct | |
150,000 | 2017-02-15 | 2026-08-15 | No | 4 | A | Indirect |
0 | 2015-03-14 | No | 4 | J | Indirect | |
0 | 2015-03-12 | No | 4 | J | Indirect | |
5,000 | 2015-07-11 | 2015-01-12 | No | 4 | A | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common Stock | 2,142 | Indirect | Custodian for Nicholas Schar Clemente |
Class A Common Stock | 2,142 | Indirect | Custodian for Michael Douglas Schar Clemente |
Class A Common Stock | 2,142 | Indirect | Custodian for Dylan Schar Clemente |
Class A Common Stock | 2,142 | Indirect | Custodian for Noah Fitzgerald Schar Clemente |
Class A Common Stock | 2,142 | Indirect | Custodian for Mary Madeline Schar Clemente |
Class A Common Stock | 2,142 | Indirect | Custodian for Haley Schar Clemente |
Class A Common Stock | 9,904 | Indirect | By FR 54, LLC |
Class A Common Stock | 124,465 | Indirect | By Stonehenge Funding, LC |
Class B Common Stock | 195,250 | Indirect | By FR 54, LLC |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Class A Common Stock | Employee Stock Option (right to buy) | $12.67 | 2016-03-31 | 2022-03-31 | 2,857 | 2,857 | Indirect |
Class A Common Stock | Employee Stock Option (right to buy) | $7.00 | 2011-12-31 | 2017-12-31 | 3,571 | 3,571 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2022-03-31 | 2,857 | 2,857 | Indirect |
2017-12-31 | 3,571 | 3,571 | Indirect |
Footnotes
- These shares were issued in connection with the Comstock Growth Fund Private Placement offering.
- The options vest in four annual equal installments commencing in December 2015.
- These securities are owned directly by Comstock Development Services, LLC, a company wholly-owned by the reporting person. The reporting person has the power to direct the vote and to direct the disposition of investments owned by Comstock Development Services, LLC.
- The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for Section 16 or for any other purpose.
- Includes 1,074 shares of Class A Common Stock representing acquisition in the form of grants in a prior year inadvertantly omitted from previous filings.
- These securities were owned directly by Comstock Asset Management, a company wholly-owned by the reporting person. The reporting person has the power to direct the vote and to direct the disposition of investments owned by Comstock Asset Management.
- The totals listed in Column 5 of Table I and Column 9 of Table II of this Form 5 reflect a 7-for-1 reverse stock split that occurred with respect to Comstock's common stock on September 25, 2015.
- Represents warrants previously issued that subsequently expired prior to being executed.
- These warrants were issued in connection with the Comstock Investors X Private Placement Offering.