Statement of Changes in Beneficial Ownership (4)
February 24 2020 - 3:16PM
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
*
WYNNEFIELD PARTNERS SMALL CAP VALUE LP |
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 __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
450 SEVENTH AVENUE, SUITE 509 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/20/2020 |
(Street)
NEW YORK, NY 10123
(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
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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, par value $0.001 per share | 2/20/2020 | | P | | 1081 | A | $4.5999 | 1006048 | D (1) | |
Common Stock, par value $0.001 per share | 2/20/2020 | | P | | 2301 | A | $4.50 | 2733588 | I | See Footnotes (2)(3)(4) |
Common Stock, par value $0.001 per share | 2/21/2020 | | P | | 31960 | A | $4.5999 | 1038008 | D (1) | |
Common Stock, par value $0.001 per share | 2/21/2020 | | P | | 68040 | A | $4.50 | 2801628 | I | See Footnotes (2)(3)(4) |
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) | The Reporting Person directly beneficially owns 1,038,008 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. |
(2) | The Reporting Person has an indirect beneficial ownership interest in 1,949,524 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. |
(3) | The Reporting Person has an indirect beneficial ownership interest in 725,617 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. |
(4) | The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. |
Remarks: Each of the Reporting Owners identified in this statement disclaims beneficial ownership of the securities described in this statement, except to the extent of their individual respective pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that any of the Reporting Owners identified in this statement are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement other than those directly beneficially owned by them. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WYNNEFIELD PARTNERS SMALL CAP VALUE LP 450 SEVENTH AVENUE SUITE 509 NEW YORK, NY 10123 |
| X |
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WYNNEFIELD PARTNERS SMALL CAP VALUE LP I 450 SEVENTH AVENUE SUITE 509 NEW YORK, NY 10123 |
| X |
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WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD 450 SEVENTH AVENUE SUITE 509 NEW YORK, NY 10123 |
| X |
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WYNNEFIELD CAPITAL MANAGEMENT LLC 450 SEVENTH AVENUE SUITE 509 NEW YORK, NY 10123 |
| X |
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WYNNEFIELD CAPITAL INC 450 SEVENTH AVENUE SUITE 509 NEW YORK, NY 10123 |
| X |
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Wynnefield Capital, Inc. Profit Sharing Plan 450 SEVENTH AVENUE SUITE 509 NEW YORK, NY 10123 |
| X |
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OBUS NELSON 450 SEVENTH AVENUE SUITE 509 NEW YORK, NY 10123 |
| X |
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LANDES JOSHUA 450 SEVENTH AVENUE SUITE 509 NEW YORK, NY 10123 |
| X |
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Signatures
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/s/ Nelson Obus, Managing Member, By: Wynnefield Capital Management, LLC, WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ Nelson Obus, Managing Member, By: Wynnefield Capital Management, LLC, WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ Nelson Obus, President, By: Wynnefield Capital, Inc., WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD. | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ Nelson Obus, Co-Trustee, WYNNEFIELD CAPITAL, INC. PROFIT SHARING PLAN | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ Nelson Obus, Managing Member, WYNNEFIELD CAPITAL MANAGEMENT, LLC | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ Nelson Obus, President, WYNNEFIELD CAPITAL, INC. | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ Nelson Obus, individually | | 2/24/2020 |
**Signature of Reporting Person | Date |
/s/ Joshua Landes, individually | | 2/24/2020 |
**Signature of Reporting Person | Date |
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