Statement of Changes in Beneficial Ownership (4)
July 14 2020 - 5:22PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Christian Jeanine M. |
2. Issuer Name and Ticker or Trading Symbol
DLH Holdings Corp.
[
DLHC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Pres. Social&Scientific Sys |
(Last)
(First)
(Middle)
DLH HOLDINGS CORP, 3565 PIEDMONT ROAD, NE BLDG. 3-700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/13/2020 |
(Street)
ATLANTA, GA 30305
(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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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) | 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 |
Employee Stock Options | $8.02 | 7/13/2020 | | A | | 250000 | | (1) | 7/13/2030 | Common Stock | 250000.0 | $0 | 250000 | D | |
Explanation of Responses: |
(1) | This is an award of common stock purchase options under the Company's 2016 Omnibus Equity Incentive Plan. Of the options reported above, options to purchase 50,000 shares will vest on the one-year anniversary of the grant date and the remainder will vest upon the satisfaction of certain vesting conditions. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Christian Jeanine M. DLH HOLDINGS CORP 3565 PIEDMONT ROAD, NE BLDG. 3-700 ATLANTA, GA 30305 |
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| Pres. Social&Scientific Sys |
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Signatures
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/s/ Michael A. Goldstein, as attorney-in-fact for Jeanine M. Christian | | 7/14/2020 |
**Signature of Reporting Person | Date |
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