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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Ashford Holding Company | AMEX:AINC | AMEX | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
-0.05 | -1.02% | 4.85 | 4.90 | 4.83 | 4.86 | 40,649 | 23:30:00 |
1. Name and Address of Reporting Person * Bennett Monty J | 2. Issuer Name and Ticker or Trading Symbol Ashford Inc. [ AINC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO and Chairman of the Board |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. 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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/11/2020 | A(1) | 4524 | A | $0 (1) | 128892 | D | |||
Common Stock | 18816 | I | By MJB Operating, LP | |||||||
Common Stock | 118290 | I | By MJB Investments LP | |||||||
Common Stock | 62116 | I | By Dartmore LP | |||||||
Common Stock | 13408 | I | By Reserve, LP IV | |||||||
Common Stock | 8918 | I | By Reserve, LP III | |||||||
Common Stock | 10597.5 (2) | I | By Ashford Financial Corporation |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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 | ||||||||
Series D Convertible Preferred Stock (3) | $0.21 (3) | (3) | (3) | Common Stock | 1924957 (3) | 9047300 | I | By MJB Investments LP | |||||||
Series D Convertible Preferred Stock (4) | $0.21 (4) | (4) | (4) | Common Stock | 17021 (4) | 80000 | I | By Trust (4) | |||||||
Series D Convertible Preferred Stock (5) | $0.21 (5) | (5) | (5) | Common Stock | 32340 (5) | 152000 | D | ||||||||
Stock Options (right to purchase) | $61.12 | 2/27/2022 | 2/27/2029 | Common Stock | 90000 | 90000 | D | ||||||||
Stock Options (right to purchase) | $94.96 | 3/14/2021 | 3/14/2028 | Common Stock | 77206 | 77206 | D | ||||||||
Stock Options (right to purchase) | $57.71 | 10/3/2020 | 10/3/2027 | Common Stock | 50000 | 50000 | D | ||||||||
Stock Options (right to purchase) | $57.34 | 4/18/2020 | 4/18/2027 | Common Stock | 50000 | 50000 | I | By MJB Operating, LP | |||||||
Stock Options (right to purchase) | $45.59 | 3/31/2019 | 3/31/2026 | Common Stock | 100000 | 100000 | I | By MJB Operating, LP | |||||||
Stock Options (right to purchase) | $85.97 | 12/11/2017 | 12/11/2022 | Common Stock | 95000 | 95000 | I | By MJB Operating, LP | |||||||
Common Units (6) | $0.00 (6) | (6) | (6) | Common Stock (6) | 143.04 | 143.04 | I | By MJB Operating, LP | |||||||
Common Units (6) | $0.00 (6) | (6) | (6) | Common Stock (6) | 501.6 | 501.6 | I | By Dartmore LP | |||||||
Common Units (6) | $0.00 (6) | (6) | (6) | Common Stock (6) | 35.91 | 35.91 | I | By MJB Investments LP | |||||||
Common Units (6) | $0.00 (6) | (6) | (6) | Common Stock (6) | 109.24 | 109.24 | I | By Reserve, LP IV | |||||||
Common Units (6) | $0.00 (6) | (6) | (6) | Common Stock (6) | 78.67 | 78.67 | I | By Reserve, LP III | |||||||
Common Units (6) | $0.00 (6) | (6) | (6) | Common Stock (6) | 93.18 (2) | 93.18 (2) | I | By Ashford Financial Corporation | |||||||
Stock Units under Deferred Compensation Plan (7) | (7) | (7) | (7) | Common Stock | 195579 | 195579 (7) | D |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Bennett Monty J 14185 DALLAS PARKWAY SUITE 1100 DALLAS, TX 75254 | X | X | CEO and Chairman of the Board |
Signatures | ||
/s/ Monty J. Bennett | 12/14/2020 | |
**Signature of Reporting Person | Date |
1 Year Ashford Chart |
1 Month Ashford Chart |
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