Filing Details
- Accession Number:
- 0001104659-19-076129
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-26 16:15:06
- Reporting Period:
- 2019-12-19
- Accepted Time:
- 2019-12-26 16:15:06
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
785557 | Dlh Holdings Corp. | DLHC | Services-Help Supply Services (7363) | 221899798 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
899083 | Wynnefield Partners Small Cap Value Lp | 450 Seventh Avenue Suite 509 New York NY 10123 | No | No | Yes | No | |
1017043 | Nelson Obus | 450 Seventh Avenue Suite 509 New York NY 10123 | No | No | Yes | No | |
1030806 | Ltd Fund Offshore Value Cap Small Wynnefield | 450 Seventh Avenue Suite 509 New York NY 10123 | No | No | Yes | No | |
1056835 | Wynnefield Capital Management Llc | 450 Seventh Avenue Suite 509 New York NY 10123 | No | No | Yes | No | |
1251565 | Wynnefield Partners Small Cap Value Lp I | 450 Seventh Avenue Suite 509 New York NY 10123 | No | No | Yes | No | |
1251567 | Wynnefield Capital Inc | 450 Seventh Avenue Suite 509 New York NY 10123 | No | No | Yes | No | |
1251568 | Joshua Landes | 450 Seventh Avenue Suite 509 New York NY 10123 | No | No | Yes | No | |
1289453 | Wynnefield Capital, Inc. Profit Sharing Plan | 450 Seventh Avenue Suite 509 New York NY 10123 | No | No | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2019-12-19 | 10,003 | $4.00 | 979,758 | No | 4 | P | Direct | |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2019-12-19 | 21,894 | $4.00 | 2,677,772 | No | 4 | P | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Indirect | See Footnotes |
Footnotes
- The Reporting Person directly beneficially owns 979,758 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
- The Reporting Person has an indirect beneficial ownership interest in 1,858,430 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.
- The Reporting Person has an indirect beneficial ownership interest in 692,855 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.
- The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.