Initial Statement of Beneficial Ownership (3)
September 16 2020 - 6:48PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Chhay Bradley Lim |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/14/2020
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3. Issuer Name and Ticker or Trading Symbol
RCI HOSPITALITY HOLDINGS, INC. [RICK]
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(Last)
(First)
(Middle)
10737 CUTTEN ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / |
(Street)
HOUSTON, TX 77066
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1500 | D | |
Common Stock | 1870 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This amount represents the entire amount of securities owned by the investment club. As of the date of this report, the reporting person owns approximately 3.6% of the investment club. The reporting person disclaims beneficial ownership of the remaining 96.4% 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Chhay Bradley Lim 10737 CUTTEN ROAD HOUSTON, TX 77066 |
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| Chief Financial Officer |
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Signatures
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/s/ Bradley Lim Chhay | | 9/16/2020 |
**Signature of Reporting Person | Date |
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