Statement of Changes in Beneficial Ownership (4)
February 12 2020 - 6:56PM
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
*
Marshall Phillip Kent |
2. Issuer Name and Ticker or Trading Symbol
RCI HOSPITALITY HOLDINGS, INC.
[
RICK
]
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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) CFO |
(Last)
(First)
(Middle)
10737 CUTTEN ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/13/2016 |
(Street)
HOUSTON,, TX 77066
(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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Common Stock | | | | | | | | 14130 | D | |
Common Stock | 6/13/2016 | | P | | 430 (1) | A | $10.459 | 1870 (1)(2) | I | By investment club (a general partnership) |
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 |
Explanation of Responses: |
(1) | This amount represents the entire amount of securities acquired (with respect to column 4) and owned (with respect to column 5) by the investment club. As of the date of this report, the reporting person owns approximately 4.6% of the investment club. The reporting person disclaims beneficial ownership of the remaining 95.4% of the shares held in the investment club, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. The referenced percentages are subject to change in the future based on ownership changes of the investment club. |
(2) | Prior to the referenced June 13, 2016 transaction, the investment club purchased 200 shares in 2006, purchased 280 shares in 2007, purchased 475 shares in 2008, purchased 200 shares in 2009, purchased 150 shares in 2011, sold 705 shares in 2013 and purchased 840 shares in 2016, all in open market transactions. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Marshall Phillip Kent 10737 CUTTEN ROAD HOUSTON,, TX 77066 |
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| CFO |
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Signatures
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/s/ Phillip Marshall | | 2/11/2020 |
**Signature of Reporting Person | Date |
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