Statement of Changes in Beneficial Ownership (4)

Date : 01/09/2018 @ 4:07PM
Source : Edgar (US Regulatory)
Stock : DPW Holdings, Inc. (DPW)
Quote : 2.31  -0.04 (-1.70%) @ 8:00PM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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OMB Number: 3235-0287
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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
                      

1. Name and Address of Reporting Person *

Ault Kristine L
2. Issuer Name and Ticker or Trading Symbol

DPW Holdings, Inc. [ DPW ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

P.O. BOX 3587
3. Date of Earliest Transaction (MM/DD/YYYY)

1/5/2018
(Street)

TUSTIN, CA 92781
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   1/5/2018     P    200   A $2.43   1850   D    
Common Stock   1/8/2018     P    300   A $2.69   2150   (1) (2) D    
Common Stock                  2725860   I   By Philou Ventures, LLC  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  On a Form 4 filed on November 28, 2016, the Reporting Person disclosed the purchase of an aggregate of 700 shares of common stock of the Issuer, the first time she purchased in her own name. On a Form 4 filed on December 13, 2016, the Reporting Person disclosed the purchase of other securities of the Issuer by an affiliate, Philou Ventures, and included a row indicating that she owned 1,800 shares directly. This Form 4 inadvertently overstated her direct ownership of shares of common stock of the Issuer by 1,100 such shares. Although the Reporting Person has since filed five Forms 4, all of which correctly reported the transaction requiring the filing of the particular form (including a Form 4 that disclosed the purchase of 850 shares from May 9, 2017 through May 11, 2017), this Form 4 is the first to accurately present the Reporting Person's direct ownership of common stock of the Issuer. No Form 4 other than those mentioned above disclosed a direct purchase of shares of common stock
(2)  of the Issuer, and at no time has the Reporting Person sold any such shares, whether directly or indirectly.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Ault Kristine L
P.O. BOX 3587
TUSTIN, CA 92781
X X


Signatures
/s/ Kristine L. Ault 1/9/2018
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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