Statement of Changes in Beneficial Ownership (4)
April 30 2019 - 5:57PM
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
*
FRIEDBERG DANIEL M.
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2. Issuer Name
and
Ticker or Trading Symbol
Quest Resource Holding Corp
[
QRHC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O HAMPSTEAD PARK CAPITAL MANAGEMENT,, 20 BALLWOOD ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/29/2019
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(Street)
OLD GREENWICH, CT 06870
(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)
___ Form filed by One Reporting Person
_
X
_ 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
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2080000
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I
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By: Hampstead Park Environmental Services Investment Fund LLC
(1)
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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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Option (Right to Buy)
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$2.11
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4/29/2019
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A
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151659
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(2)
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4/29/2029
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Common Stock
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151659
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$0.00
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151659
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D
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Option (Right to Buy)
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$2.11
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4/29/2019
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A
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94787
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(3)
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4/29/2029
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Common Stock
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94787
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$0.00
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246446
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D
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Explanation of Responses:
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(1)
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This Form 4 is filed jointly by Hampstead Park Environmental Services Investment Fund LLC ("Hampstead Park Environmental"), Daniel Friedberg and Hampstead Park Capital Management, LLC ("Hampstead Park Capital"). Hampstead Park Capital is the sole member of Hampstead Park Environmental, and Mr. Friedberg is the Chief Executive Officer of Hampstead Park Capital; each may therefore be deemed to control Hampstead Park Environmental. In addition, Mr. Friedberg is a Director of the Issuer.
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(2)
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The total number of shares subject to the option shall vest and become exercisable in four equal annual installments beginning on the date on which the Issuer's 2020 annual meeting of stockholders is held, until fully vested.
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(3)
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The total number of shares subject to the option shall vest and become exercisable on the date on which the Issuer's 2020 annual meeting of stockholders is held.
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Remarks:
Exhibit 24 - Power of Attorney
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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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FRIEDBERG DANIEL M.
C/O HAMPSTEAD PARK CAPITAL MANAGEMENT,
20 BALLWOOD ROAD
OLD GREENWICH, CT 06870
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X
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X
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Hampstead Park Capital Management, LLC
20 BALLWOOD ROAD
OLD GREENWICH, CT 06870
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X
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Hampstead Park Environmental Services Investment Fund LLC
20 BALLWOOD ROAD
OLD GREENWICH, CT 06870
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X
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Signatures
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/s/ Daniel Friedberg
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4/30/2019
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**
Signature of Reporting Person
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Date
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Hampstead Park Environmental Services Investment Fund LLC; By: Hampstead Park Capital Management, LLC; By: Daniel Friedberg, Chief Executive Officer
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4/30/2019
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**
Signature of Reporting Person
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Date
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Hampstead Park Capital Management, LLC; By: Daniel Friedberg, Chief Executive Officer
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4/30/2019
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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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