Statement of Changes in Beneficial Ownership (4)
07 Marzo 2020 - 12:03AM
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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3235-0287
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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
*
Sheffield William H |
2. Issuer Name and Ticker or Trading Symbol
Houston Wire & Cable CO
[
HWCC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
401 QUEENS QUAY WEST, SUITE 104 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/6/2020 |
(Street)
TORONTO, A6 M5V 2Y2
(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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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 |
STOCK UNIT | (1) | 3/6/2020 | | A | | 1947 | | (1) | (1) | COMMON STOCK, $.001 PAR VALUE | 1947 | $3.21 | 10415 | D | |
Explanation of Responses: |
(1) | ISSUED PURSUANT TO THE HOUSTON WIRE & CABLE COMPANY NONEMPLOYEE DIRECTOR'S COMPENSATION PLAN. EACH STOCK UNIT REPRESENTS THE RIGHT TO RECEIVE UPON SETTLEMENT ONE SHARE OF HWCC COMMON STOCK. THE STOCK UNITS WILL SETTLE UPON THE REPORTING PERSON'S TERMINATION OF SERVICE ON THE BOARD OF DIRECTORS. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sheffield William H 401 QUEENS QUAY WEST SUITE 104 TORONTO, A6 M5V 2Y2 | X |
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Signatures
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/S/CHRISTOPHER M. MICKLAS, ATTORNEY-IN-FACT | | 3/6/2020 |
**Signature of Reporting Person | Date |
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