Form 4 for DLHC DLH Holdings Corp.
Accepted 2023-11-03 00:00:00 ET · period of report 2023-11-01 · accession 0000785557-23-000079 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-11-03 | 2023-11-01 | DLHC | Parker Zachary | CEO, Pres, Dir | M - OptEx | $1.40 | +100.0K | 848.1K | +13% | +$140.0K |
| D | 2023-11-03 | 2023-11-01 | DLHC | Parker Zachary | CEO, Pres, Dir | F - Tax | $13.90 | -39.8K | 808.3K | -5% | -$553.5K |
| D | 2023-11-03 | 2023-11-01 | DLHC | Parker Zachary | CEO, Pres, Dir | M - OptEx | $0.00 | -100.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-11-01 | M | A | 100,000 | $1.40 | 848,133 | D | — | — | (F1) Includes 55,282 shares underlying time-based restricted stock units granted to the reporting person pursuant to the Company's 2016 Omnibus Equity Incentive Plan. |
| 2 | Common | Common Stock | 2023-11-01 | F | D | 39,819 | $13.90 | 808,314 | D | — | — | (F2) Shares surrendered by reporting person to satisfy the exercise price associated with the exercise of the options described in Table II of this Form 4 and the corresponding tax obligations of the reporting person arising from the exercise of the options. (F1) Includes 55,282 shares underlying time-based restricted stock units granted to the reporting person pursuant to the Company's 2016 Omnibus Equity Incentive Plan. |
| 3 | Derivative | Employee Stock Option | 2023-11-01 | M | D | 100,000 | $0.00 | 0 | D | $1.40 · — to 2023-11-08 | 100,000 Common Stock | (F3) The option was granted on November 8, 2013 and subsequently vested upon the achievement of certain performance targets. |