Last 12 months
Inside the activity.
90 purchase rows · 1 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 3 | 0 |
| Jan 2026 | 2 | 0 |
| Feb 2026 | 5 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 1 | 0 |
| May 2026 | 7 | 0 |
| Jun 2026 | 14 | 0 |
| Jul 2026 | 22 | 0 |
| Aug 2026 | 19 | 0 |
| Sep 2026 | 16 | 0 |
| Oct 2026 | 1 | 1 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 14, 2020 Filed Feb 18, 2020 21:20 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 409 | $4.56 | $1,863.69 |
DisclosureSEC source: 0001104659-20-022456 · tm1924270-7_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 988,046 F1 · ownership.direct: The Reporting Person directly beneficially owns 988,046 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. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 21:20 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 16,705 | $4.37 | $72,985.82 |
DisclosureSEC source: 0001104659-20-022456 · tm1924270-7_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,694,477 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,871,357 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 697,499 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. F4 · ownership.nature: 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. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 21:20 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 7,879 | $4.37 | $34,424.14 |
DisclosureSEC source: 0001104659-20-022456 · tm1924270-7_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 987,637 F1 · ownership.direct: The Reporting Person directly beneficially owns 988,046 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. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 21:11 UTC |
Parker ZacharyDirector · CEO and President
|
Exercise / conversionEmployee Stock Option · Derivative | 72,873 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001628280-20-000677 · wf-form4_158033225024289.xml · derivative · entry 3 Parker Zachary · CIK 0001484008 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 72,873 shares Expires 2020-02-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option, initially representing a right to purchase a total of 500,000 shares, became exercisable for 50,000 shares on February 9, 2010. Of the remaining shares subject to this option, the option subsequently vested for an additional 300,000 shares upon the satisfaction of certain vesting conditions. Options to purchase 150,000 shares are subject to additional vesting requirements. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 21:11 UTC |
Parker ZacharyDirector · CEO and President
|
Tax withholdingCommon Stock | 15,477 | $4.85 | $75,063.45 |
DisclosureSEC source: 0001628280-20-000677 · wf-form4_158033225024289.xml · nonDerivative · entry 2 Parker Zachary · CIK 0001484008 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425,859 Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 21:11 UTC |
Parker ZacharyDirector · CEO and President
|
Exercise / conversionCommon Stock | 72,873 | $1.03 | $75,059.19 |
DisclosureSEC source: 0001628280-20-000677 · wf-form4_158033225024289.xml · nonDerivative · entry 1 Parker Zachary · CIK 0001484008 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,336 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 21, 2020 Filed Jan 22, 2020 21:34 UTC |
Parker ZacharyDirector · CEO and President
|
Exercise / conversionEmployee Stock Option · Derivative | 252,127 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001628280-20-000467 · wf-form4_157972884435756.xml · derivative · entry 3 Parker Zachary · CIK 0001484008 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,873 Underlying: Common Stock · 252,127 shares Expires 2020-02-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option, initially representing a right to purchase a total of 500,000 shares, became exercisable for 50,000 shares on February 9, 2010. Of the remaining shares subject to this option, the option subsequently vested for an additional 300,000 shares upon the satisfaction of certain vesting conditions. Options to purchase 150,000 shares are subject to additional vesting requirements. Read SEC document |
| January 21, 2020 Filed Jan 22, 2020 21:34 UTC |
Parker ZacharyDirector · CEO and President
|
Tax withholdingCommon Stock | 51,020 | $5.09 | $259,691.80 |
DisclosureSEC source: 0001628280-20-000467 · wf-form4_157972884435756.xml · nonDerivative · entry 2 Parker Zachary · CIK 0001484008 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368,463 Read SEC document |
| January 21, 2020 Filed Jan 22, 2020 21:34 UTC |
Parker ZacharyDirector · CEO and President
|
Exercise / conversionCommon Stock | 252,127 | $1.03 | $259,690.81 |
DisclosureSEC source: 0001628280-20-000467 · wf-form4_157972884435756.xml · nonDerivative · entry 1 Parker Zachary · CIK 0001484008 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 19, 2019 Filed Dec 19, 2019 19:49 UTC |
JohnBull Kathryn M.Chief Financial Officer
|
PurchaseCommon Stock | 10,000 | $4.00 | $40,000.00 |
DisclosureSEC source: 0001628280-19-015231 · wf-form4_157678495281527.xml · nonDerivative · entry 2 JohnBull Kathryn M. · CIK 0001553121 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,654 Read SEC document |
| December 19, 2019 Filed Dec 19, 2019 19:47 UTC |
ALDERMAN WILLIAM HDirector
|
SaleCommon Stock | 51,897 | $4.00 | $207,588.00 |
DisclosureSEC source: 0001628280-19-015229 · wf-form4_157678484542378.xml · nonDerivative · entry 1 ALDERMAN WILLIAM H · CIK 0001069713 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: Represents private sales of shares of Common Stock by the Reporting Person. Read SEC document |
| December 19, 2019 Filed Dec 19, 2019 19:48 UTC |
DELANEY MARTIN JDirector
|
PurchaseCommon Stock | 10,000 | $4.00 | $40,000.00 |
DisclosureSEC source: 0001628280-19-015230 · wf-form4_157678489280070.xml · nonDerivative · entry 1 DELANEY MARTIN J · CIK 0001253825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 298,146 F1 · security: Includes 12,500 restricted stock units which do not vest until September 30, 2020. Read SEC document |
| December 19, 2019 Filed Dec 26, 2019 21:15 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 21,894 | $4.00 | $87,576.00 |
DisclosureSEC source: 0001104659-19-076129 · tm1924270-6_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,677,772 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,858,430 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 692,855 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. F4 · ownership.nature: 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. Read SEC document |
| December 19, 2019 Filed Dec 26, 2019 21:15 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 10,003 | $4.00 | $40,012.00 |
DisclosureSEC source: 0001104659-19-076129 · tm1924270-6_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 979,758 F1 · ownership.direct: The Reporting Person directly beneficially owns 979,758 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. Read SEC document |
| December 17, 2019 Filed Dec 19, 2019 19:49 UTC |
JohnBull Kathryn M.Chief Financial Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 20,000 | $0.00 Strike: $1.34 | $0.00 |
DisclosureSEC source: 0001628280-19-015231 · wf-form4_157678495281527.xml · derivative · entry 3 JohnBull Kathryn M. · CIK 0001553121 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,000 Underlying: Common Stock · 20,000 shares Expires 2022-06-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option, initially representing a right to purchase a total of 250,000 shares, became exercisable for 50,000 shares on June 25, 2012. Of the remaining shares subject to this option, 66,666 shares remain subject to additional vesting requirements. Read SEC document |
| December 17, 2019 Filed Dec 19, 2019 19:49 UTC |
JohnBull Kathryn M.Chief Financial Officer
|
Exercise / conversionCommon Stock | 20,000 | $1.34 | $26,800.00 |
DisclosureSEC source: 0001628280-19-015231 · wf-form4_157678495281527.xml · nonDerivative · entry 1 JohnBull Kathryn M. · CIK 0001553121 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,654 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:23 UTC |
ALDERMAN WILLIAM HDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-013985 · wf-form4_157359378649838.xml · nonDerivative · entry 1 ALDERMAN WILLIAM H · CIK 0001069713 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,397 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2020. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:22 UTC |
Yerks Austin J. IIIDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-013980 · wf-form4_157359370645717.xml · nonDerivative · entry 1 Yerks Austin J. III · CIK 0001562731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,875 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2020. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:24 UTC |
Granger ElderDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-013988 · wf-form4_157359382464975.xml · nonDerivative · entry 1 Granger Elder · CIK 0001625579 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,316 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2020. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:23 UTC |
Murphy Frances MDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-013984 · wf-form4_157359376597132.xml · nonDerivative · entry 1 Murphy Frances M · CIK 0001666394 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,875 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2020. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:23 UTC |
ALLEN JAMES PDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-013986 · wf-form4_157359380566349.xml · nonDerivative · entry 1 ALLEN JAMES P · CIK 0001076790 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,458 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2020. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:22 UTC |
DELANEY MARTIN JDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-013983 · wf-form4_157359374736594.xml · nonDerivative · entry 1 DELANEY MARTIN J · CIK 0001253825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,146 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2020. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:22 UTC |
Wasserman Frederick GeraldDirector
|
GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-19-013981 · wf-form4_157359372633038.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,831 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2020. Read SEC document |
| October 18, 2019 Filed Oct 22, 2019 20:58 UTC |
Beverly Kevin HanfordPres. Social&Scientific Sys
|
GrantEmployee Stock Options · Derivative | 250,000 | $0.00 Strike: $4.17 | $0.00 |
DisclosureSEC source: 0001628280-19-012468 · wf-form4_157177787246421.xml · derivative · entry 1 Beverly Kevin Hanford · CIK 0001789262 · Pres. Social&Scientific Sys 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-10-18 F1 · derivative.exercise_date: This is an award of common stock purchase options under the Company's 2016 Omnibus Equity Incentive Plan. Of the options reported above, options to purchase 50,000 shares will vest on the one-year anniversary of the grant date and the remainder will vest upon the satisfaction of certain vesting conditions. Read SEC document |
| August 10, 2019 Filed Aug 12, 2019 21:53 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 2,676 | $4.25 | $11,373.00 |
DisclosureSEC source: 0001144204-19-039243 · tv527421_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,655,878 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,842,880 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 686,511 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. F4 · ownership.nature: 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. Read SEC document |
| August 09, 2019 Filed Aug 12, 2019 21:53 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 2,506 | $4.25 | $10,650.50 |
DisclosureSEC source: 0001144204-19-039243 · tv527421_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,653,202 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,842,880 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 686,511 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. F4 · ownership.nature: 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. Read SEC document |
| August 09, 2019 Filed Aug 12, 2019 21:53 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 1,512 | $4.25 | $6,425.85 |
DisclosureSEC source: 0001144204-19-039243 · tv527421_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 969,755 F1 · ownership.direct: The Reporting Person directly beneficially owns 969,755 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. Read SEC document |
| August 08, 2019 Filed Aug 12, 2019 21:53 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
PurchaseCommon Stock, par value $0.001 per share | 3,306 | $4.25 | $14,050.17 |
DisclosureSEC source: 0001144204-19-039243 · tv527421_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,650,696 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,842,880 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 686,511 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. F4 · ownership.nature: 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. Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 21:23 UTC |
Wilson KevinPresident, DLH Solutions
|
SaleCommon Stock | 20,000 | $6.01 | $120,200.00 |
DisclosureSEC source: 0001628280-19-003091 · wf-form4_155294421125523.xml · nonDerivative · entry 1 Wilson Kevin · CIK 0001447211 · President, DLH Solutions 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,006 Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 20:15 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 34,761 | $6.00 | $208,566.00 |
DisclosureSEC source: 0001144204-19-014625 · tv516382_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,647,390 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,840,529 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 680,374 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. F4 · ownership.nature: 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. Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 20:15 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 16,539 | $6.00 | $99,234.00 |
DisclosureSEC source: 0001144204-19-014625 · tv516382_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 968,243 F1 · ownership.direct: The Reporting Person directly beneficially owns 968,243 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. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 20:15 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 44,417 | $6.04 | $268,278.68 |
DisclosureSEC source: 0001144204-19-014625 · tv516382_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,682,151 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,840,529 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 680,374 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. F4 · ownership.nature: 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. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 20:15 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 21,133 | $6.04 | $127,643.32 |
DisclosureSEC source: 0001144204-19-014625 · tv516382_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 984,782 F1 · ownership.direct: The Reporting Person directly beneficially owns 968,243 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. Read SEC document |
| March 11, 2019 Filed Mar 12, 2019 20:20 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 134,026 | $6.02 | $806,836.52 |
DisclosureSEC source: 0001144204-19-013526 · tv516045_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,726,568 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,896,605 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 703,476 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. F4 · ownership.nature: 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. Read SEC document |
| March 11, 2019 Filed Mar 12, 2019 20:20 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 51,874 | $6.02 | $312,281.48 |
DisclosureSEC source: 0001144204-19-013526 · tv516045_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,005,915 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,005,915 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. Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 20:20 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 22,767 | $6.10 | $138,878.70 |
DisclosureSEC source: 0001144204-19-013526 · tv516045_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,860,594 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,896,605 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 703,476 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. F4 · ownership.nature: 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. Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 20:20 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 10,833 | $6.10 | $66,081.30 |
DisclosureSEC source: 0001144204-19-013526 · tv516045_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,057,789 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,005,915 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. Read SEC document |
| March 05, 2019 Filed Mar 7, 2019 21:15 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 16,940 | $6.30 | $106,722.00 |
DisclosureSEC source: 0001144204-19-012775 · tv515710_form4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,883,361 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,989,946 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 741,928 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. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 151,487 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. Read SEC document |
| March 05, 2019 Filed Mar 7, 2019 21:15 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 8,060 | $6.30 | $50,778.00 |
DisclosureSEC source: 0001144204-19-012775 · tv515710_form4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,068,622 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,068,622 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. Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 21:18 UTC |
ALDERMAN WILLIAM HDirector
|
SaleCommon Stock | 13,139 | $6.28 | $82,512.92 |
DisclosureSEC source: 0001628280-19-001965 · wf-form4_155121589519942.xml · nonDerivative · entry 1 ALDERMAN WILLIAM H · CIK 0001069713 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,897 F1 · price: The price reported in Column 4 of Table 1 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.20 to $6.45, inclusive. The reporting person undertakes to provide to the corporation, any security holder of the corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 1 to this Form 4. F2 · balance_after: Includes 12,500 restricted stock units which do not vest until September 30, 2019. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:03 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 17,714 | $6.30 | $111,598.20 |
DisclosureSEC source: 0001144204-19-010596 · tv514911_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,900,301 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 2,001,944 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. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 746,870 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. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 151,487 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. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 22:03 UTC |
WYNNEFIELD CAPITAL MANAGEMENT LLC10% owner
WYNNEFIELD CAPITAL INC10% owner
OBUS NELSON10% owner
LANDES JOSHUA10% owner
|
SaleCommon Stock, par value $0.001 per share | 8,286 | $6.30 | $52,201.80 |
DisclosureSEC source: 0001144204-19-010596 · tv514911_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,076,682 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,076,682 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. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 15:32 UTC |
Parker ZacharyDirector · CEO and President
|
Exercise / conversionEmployee Stock Option · Derivative | 25,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001628280-18-015342 · wf-form4_154540634441923.xml · derivative · entry 2 Parker Zachary · CIK 0001484008 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 475,000 Underlying: Common Stock · 25,000 shares Expires 2020-02-09 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option, initially representing a right to purchase a total of 500,000 shares, became exercisable for 50,000 shares on February 9, 2010. Of the remaining shares subject to this option, 150,000 shares are subject to additional vesting requirements. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 15:32 UTC |
Parker ZacharyDirector · CEO and President
|
Exercise / conversionCommon Stock | 25,000 | $1.03 | $25,750.00 |
DisclosureSEC source: 0001628280-18-015342 · wf-form4_154540634441923.xml · nonDerivative · entry 1 Parker Zachary · CIK 0001484008 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,356 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 21:13 UTC |
Wasserman Frederick GeraldDirector
|
GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-015364 · wf-form4_154542679921469.xml · nonDerivative · entry 1 Wasserman Frederick Gerald · CIK 0001384383 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,831 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2019. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 21:12 UTC |
ALDERMAN WILLIAM HDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-015363 · wf-form4_154542670749158.xml · nonDerivative · entry 1 ALDERMAN WILLIAM H · CIK 0001069713 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,036 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2019. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 21:10 UTC |
Granger ElderDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-015362 · wf-form4_154542663400133.xml · nonDerivative · entry 1 Granger Elder · CIK 0001625579 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,816 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2019. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 21:09 UTC |
DELANEY MARTIN JDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-015361 · wf-form4_154542654084109.xml · nonDerivative · entry 1 DELANEY MARTIN J · CIK 0001253825 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,646 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2019. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 21:07 UTC |
ALLEN JAMES PDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-015360 · wf-form4_154542645552550.xml · nonDerivative · entry 1 ALLEN JAMES P · CIK 0001076790 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,958 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2019. Read SEC document |
| December 19, 2018 Filed Dec 21, 2018 21:04 UTC |
Yerks Austin J. IIIDirector
|
GrantCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-18-015358 · wf-form4_154542628121347.xml · nonDerivative · entry 1 Yerks Austin J. III · CIK 0001562731 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,375 F1 · security: Grant of restricted stock units pursuant to the Company's 2016 Omnibus Equity Incentive Plan. The award vests in full on September 30, 2019. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.