As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 3/31/05  Comstock Holding Companies, Inc.  10-K       12/31/04   20:3.9M                                   Merrill Corp-MD/FA

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   1.13M 
 2: EX-3.1      Articles of Incorporation/Organization or By-Laws   HTML     87K 
 3: EX-3.2      Articles of Incorporation/Organization or By-Laws   HTML     87K 
 4: EX-10.10    Material Contract                                   HTML    585K 
 5: EX-10.11    Material Contract                                   HTML    109K 
 6: EX-10.12    Material Contract                                   HTML     98K 
 7: EX-10.18    Material Contract                                   HTML     51K 
 8: EX-10.21    Material Contract                                   HTML    224K 
 9: EX-10.22    Material Contract                                   HTML    110K 
10: EX-10.23    Material Contract                                   HTML     48K 
11: EX-10.30    Material Contract                                   HTML      9K 
12: EX-10.31    Material Contract                                   HTML      9K 
13: EX-10.33    Material Contract                                   HTML    189K 
14: EX-14.1     Code of Ethics                                      HTML     13K 
15: EX-21.1     Subsidiaries of the Registrant                      HTML     26K 
16: EX-24.1     Power of Attorney                                   HTML     18K 
17: EX-31.1     Certification per Sarbanes-Oxley Act (Section 302)  HTML     16K 
18: EX-31.2     Certification per Sarbanes-Oxley Act (Section 302)  HTML     16K 
19: EX-31.3     Certification per Sarbanes-Oxley Act (Section 302)  HTML     16K 
20: EX-32.1     Certification per Sarbanes-Oxley Act (Section 906)  HTML     15K 

Exhibit 14.1

 

COMSTOCK HOMEBUILDING COMPANIES, INC.

 

CODE OF ETHICS FOR THE CEO AND SENIOR FINANCIAL OFFICERS

 

Comstock Homebuilding Companies, Inc. (the “Company”) has a Code of Conduct applicable to all directors and employees of the Company.  The Chief Executive Officer and all senior financial officers, including the Chief Financial Officer and the Chief Accounting Officer, are bound by the provisions set forth therein relating to ethical conduct, conflicts of interest, and compliance with law.  In addition to the Code of Conduct, the Chief Executive Officer and senior financial officers are subject to the following additional specific policies:

 

1.                                       The Chief Executive Officer and all senior financial officers are responsible for full, fair, accurate, timely, and understandable disclosure in the periodic reports required to be filed by the Company with the SEC.  Accordingly, it is the responsibility of the Chief Executive Officer and each senior financial officer promptly to bring to the attention of the Audit Committee any material information of which he or she may become aware that affects the disclosures made by the Company in its public filings or otherwise assist the Audit Committee in fulfilling its responsibilities.

 

2.                                       The Chief Executive Officer and each senior financial officer shall promptly bring to the attention of the Audit Committee any information he or she may have concerning (a) significant deficiencies in the design or operation of internal controls that could adversely affect the Company’s ability to record, process, summarize, and report financial data or (b) any fraud, whether or not material, that involves management or other employees who have a significant role in the Company’s financial reporting, disclosures, or internal controls.

 

3.                                       The Chief Executive Officer and each senior financial officer shall promptly bring to the attention of the Audit Committee any information he or she may have concerning any violation of this Code or the Company’s Code of Conduct, including any actual or apparent conflicts of interest between personal and professional relationships, involving any management or other employees who have a significant role in the Company’s financial reporting, disclosures, or internal controls.

 

4.                                       The Chief Executive Officer and each senior financial officer shall promptly bring to the attention of the Audit Committee any information he or she may have concerning evidence of a material violation of the securities or other laws, rules, or regulations applicable to the Company and the operation of its business, by the Company or any agent thereof, or of violation of the Code of Conduct or of these additional procedures.

 

 

5.                                       The Board of Directors shall determine, or designate appropriate persons to determine, appropriate actions to be taken in the event of violations of the Code of Conduct or of these additional procedures by the Chief Executive Officer and the Company’s senior financial officers.  Such actions shall be reasonably designed to deter wrongdoing and to promote accountability for adherence to the Code of Conduct and to these additional procedures, and may include written notices to the individual involved that the Board has determined that there has been a violation, censure by the Board, demotion or re-assignment of the individual involved, suspension with or without pay or benefits (as determined by the Board), and termination of the individual’s employment.  In determining the appropriate action in a particular case, the Board of Directors or such designee shall take into account all relevant information, including the nature and severity of the violation, whether the violation was a single occurrence or repeated occurrences, whether the violation appears to have been intentional or inadvertent, whether the individual in question had been advised prior to the violation as to the proper course of action, and whether or not the individual in question had committed other violations in the past.

 

2

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/21/24  Comstock Holding Companies, Inc.  10-K       12/31/23   83:12M
 2/07/24  Comstock Holding Companies, Inc.  10-K/A     12/31/22   80:6.6M
11/09/23  Comstock Holding Companies, Inc.  10-Q        9/30/23   65:5.5M
 8/11/23  Comstock Holding Companies, Inc.  10-Q        6/30/23   63:5.4M
 5/12/23  Comstock Holding Companies, Inc.  10-Q        3/31/23   66:6.9M
 3/29/23  Comstock Holding Companies, Inc.  10-K       12/31/22   81:6.7M
11/10/22  Comstock Holding Companies, Inc.  10-Q        9/30/22   66:6.2M
 8/15/22  Comstock Holding Companies, Inc.  10-Q        6/30/22   67:20M
 5/16/22  Comstock Holding Companies, Inc.  10-Q        3/31/22   63:48M
11/15/21  Comstock Holding Companies, Inc.  10-Q        9/30/21   73:6.2M
 8/16/21  Comstock Holding Companies, Inc.  10-Q        6/30/21   70:5.6M
 5/14/21  Comstock Holding Companies, Inc.  10-Q        3/31/21   64:4.3M