Statement of Changes in Beneficial Ownership (4)
08 März 2021 - 10:46PM
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
*
FABRIKANT CHARLES |
2. Issuer Name and Ticker or Trading Symbol
SEACOR HOLDINGS INC /NEW/
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CKH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Chairman and CEO |
(Last)
(First)
(Middle)
C/O SEACOR HOLDINGS INC., 2200 ELLER DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/4/2021 |
(Street)
FT. LAUDERDALE, FL 33316
(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 | 3/4/2021 | | M | | 14983 | A | $38.26 | 448978 | D | |
Common Stock | 3/4/2021 | | M | | 14983 | A | $39.68 | 463961 | D | |
Common Stock | 3/4/2021 | | F | | 28772 | D | $42.50 | 435189 | D | |
Common Stock | | | | | | | | 12000 | I | Sara Fabrikant 2012 GST Exempt Trust (1) |
Common Stock | | | | | | | | 800 | I | Eric Fabrikant 2009 Family Trust (2) |
Common Stock | | | | | | | | 800 | I | Harlan Saroken 2009 Family Trust (2) |
Common Stock | | | | | | | | 12388 | I | VSS Holding Corp. (3) |
Common Stock | | | | | | | | 14826 | I | By Spouse (4) |
Common Stock | | | | | | | | 60000 | I | Charles Fabrikant 2012 GST Exempt Trust (2) |
Common Stock | | | | | | | | 332142 | I | Fabrikant International Corporation (5) |
Common Stock | | | | | | | | 42121 | I | Charles Fabrikant 2009 Family Trust |
Common Stock | | | | | | | | 18995 | I | Article Sixth Trust U/W/O Elaine Fabrikant FBO EF |
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 Options (right to buy) | $38.26 (6) | 3/4/2021 | | M | | | 14983 (7) | (8) | 3/4/2021 | Common Stock | 14983.0 | $0 | 0 | D | |
Stock Options (right to buy) | $39.68 (9) | 3/4/2021 | | M | | | 14983 (7) | (8) | 3/4/2021 | Common Stock | 14983.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Reporting Person is a trustee. Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest. |
(2) | Reporting Person's spouse is a trustee. Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest. |
(3) | Reporting Person is the President and sole stockholder. |
(4) | Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest. |
(5) | Reporting Person is the President. Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest. |
(6) | On June 2, 2017, the issuer completed the spin-off of SEACOR Marine Holdings Inc.(the "SMHI Spin-Off"), in which the issuer distributed all shares of SMHI to the issuer's stockholders. The completion of the SMHI Spin-off resulted in an adjustment to the exercise price of these options from $62.01 to $40.01. On December 20, 2017, the issuer paid a dividend to its stockholders consisting of a portion of the issuer's shares of Dorian LPG Ltd., which resulted in a further adjustment to the exercise price of these options from $40.01 to $38.26. |
(7) | On June 2, 2017, in connection with the SMHI Spin-Off, these options were adjusted, resulting in the reporting person's ownership of 5,317 additional stock options. |
(8) | These options became exercisable in 5 equal annual installments beginning on March 4, 2012, and ending on March 4, 2016. |
(9) | The completion of the SMHI spin-off of SEACOR Marine Holdings Inc. (the "SMHI Spin-Off"), in which the issuer distributed all shares of SMHI to the issuer's stockholders. The Completion of the SMHI Spin-off resulted in an adjustment to the exercise price of these options from $64.22 to $40.44. On December 20, 2017, the issuer paid a dividend to its stockholders consisting of a portion of the issuer's shares of Dorian LPG Ltd., which resulted in a further adjustment to the exercise price of these options from $40.44 to $39.68. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
FABRIKANT CHARLES C/O SEACOR HOLDINGS INC. 2200 ELLER DRIVE FT. LAUDERDALE, FL 33316 | X |
| Executive Chairman and CEO |
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Signatures
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/s/ William C. Long
Attorney-in-Fact | | 3/8/2021 |
**Signature of Reporting Person | Date |
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