Statement of Changes in Beneficial Ownership (4)
June 24 2016 - 5:28PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ROBOTTI ROBERT
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2. Issuer Name
and
Ticker or Trading Symbol
PANHANDLE OIL & GAS INC
[
PHX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
60 EAST 42ND STREET, SUITE 3100
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/22/2016
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(Street)
NEW YORK, NY 10165
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock, $0.0166 par value
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6/22/2016
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S
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1700
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D
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$16.1678
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723536
(1)
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I
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See Footnote
(5)
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Class A Common Stock, $0.0166 par value
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6/23/2016
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S
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4600
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D
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$16.1121
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718936
(2)
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I
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See Footnote
(5)
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Class A Common Stock, $0.0166 par value
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6/24/2016
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S
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1700
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D
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$16.0316
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717236
(3)
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I
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See Footnote
(5)
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Class A Common Stock, $0.0166 par value
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6/24/2016
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S
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2000
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D
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$16.0316
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715236
(4)
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I
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See Footnote
(5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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This amount includes 35,780 shares of Common Stock directly beneficially owned by Robotti & Company, Incorporated ("ROBT"), 2,000 shares of the Common Stock directly beneficially owned by Robotti & Company, LLC ("Robotti & Company"), 390,274 shares of the Common Stock directly beneficially owned by The Ravenswood Investment Company, LP ("RIC"), 237,280 shares of the Common Stock directly beneficially owned by Ravenswood Investments III, L.P. ("RI"), 36,000 shares of the Common Stock directly beneficially owned by Suzanne Robotti ("Su Robotti"), wife of Robert Robotti, and 22,202 shares of the Common Stock, of which 1,624 shares are restricted stock directly beneficially owned by Robert Robotti.
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(
2)
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This amount includes 31,180 shares of Common Stock directly beneficially owned by ROBT, 2,000 shares of the Common Stock directly beneficially owned by Robotti & Company, 390,274 shares of the Common Stock directly beneficially owned by RIC, 237,280 shares of the Common Stock directly beneficially owned by RI, 36,000 shares of the Common Stock directly beneficially owned by Su Robotti, wife of Robert Robotti, and 22,202 shares of the Common Stock, of which 1,624 shares are restricted stock directly beneficially owned by Robert Robotti.
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(
3)
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This amount includes 29,480 shares of Common Stock directly beneficially owned by ROBT, 2,000 shares of the Common Stock directly beneficially owned by Robotti & Company, 390,274 shares of the Common Stock directly beneficially owned by RIC, 237,280 shares of the Common Stock directly beneficially owned by RI, 36,000 shares of the Common Stock directly beneficially owned by Su Robotti, wife of Robert Robotti, and 22,202 shares of the Common Stock, of which 1,624 shares are restricted stock directly beneficially owned by Robert Robotti.
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(
4)
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This amount includes 29,480 shares of Common Stock directly beneficially owned by ROBT, 390,274 shares of the Common Stock directly beneficially owned by RIC, 237,280 shares of the Common Stock directly beneficially owned by RI, 36,000 shares of the Common Stock directly beneficially owned by Su Robotti, wife of Robert Robotti, and 22,202 shares of the Common Stock, of which 1,624 shares are restricted stock directly beneficially owned by Robert Robotti.
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(
5)
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Mr. Robotti may be deemed to beneficially own (solely for the purpose of Rule 16a-1(a)(2) under the Securities Exchange Act of 1934, as amended ("Exchange Act")) certain of the shares of Common Stock set forth in this Form 4 through his proportionate ownership of ROBT and Robotti & Company, as a managing member of Ravenswood Management Company, LLC, which serves as the general partner of RIC and RI, and through his marriage to Su Robotti. Mr. Robotti disclaims beneficial ownership of all securities reported herein except to the extent of his pecuniary interest therein, if any.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ROBOTTI ROBERT
60 EAST 42ND STREET
SUITE 3100
NEW YORK, NY 10165
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X
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Signatures
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/s/ Robert E. Robotti
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6/24/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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