Statement of Changes in Beneficial Ownership (4)
March 02 2021 - 5:48PM
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
*
Shirley Martin B |
2. Issuer Name and Ticker or Trading Symbol
STAR EQUITY HOLDINGS, INC.
[
STRR
]
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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) President - DIS |
(Last)
(First)
(Middle)
53 FOREST AVE. SUITE 101 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/28/2021 |
(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)
_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 | 2/28/2021 | | M | | 276 | A | (1)(2) | 6546 | D | |
Common Stock (3) | 2/28/2021 | | F | | 82 | D | $3.38 | 6464 | D | |
Common Stock | 2/28/2021 | | M | | 350 | A | (1)(2) | 6814 | D | |
Common Stock (3) | 2/28/2021 | | F | | 104 | D | $3.38 | 6710 | D | |
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 |
Restricted Stock Unit | (1)(2) | 2/28/2021 | | M | | | 276 | (4) | (4) | Common Stock | 276 | (1) | 0 (5) | D | |
Restricted Stock Unit | (1)(2) | 2/28/2021 | | M | | | 350 | (6) | (6) | Common Stock | 350 | (1) | 350 (5) | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock. |
(2) | This transaction represents the settlement of Restricted Stock Units in shares of common stock on their scheduled vesting date. |
(3) | Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of Restricted Stock Units. No shares were sold. |
(4) | On February 28, 2017, Mr. Shirley was granted 1,107 Restricted Stock Units. As to this grant, 25% of the Restricted Stock Units vest on each of February 28, 2018, February 28, 2019, February 28, 2020 and February 28, 2021, with vesting of 50% of each such Restricted Stock Unit tranche subject to the satisfaction of certain performance criteria to be determined and approved by the Compensation Committee with respect to each such period. |
(5) | Does not include Restricted Stock Units that did not vest and were cancelled. |
(6) | On February 28, 2018, the Reporting Person was granted 1,400 Restricted Stock Units. As to this grant, 25% of the Restricted Stock Units vest on each of February 28, 2019, February 28, 2020, February 28, 2021 and February 28, 2022, subject to the Reporting Person continuing to provide service through each such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Shirley Martin B 53 FOREST AVE. SUITE 101 OLD GREENWICH, CT 06870 |
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| President - DIS |
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Signatures
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/s/ Matthew G. Molchan, as Attorney-in-Fact | | 3/2/2021 |
**Signature of Reporting Person | Date |
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