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Bottomley John – ‘4’ for 4/15/24 re: Soluna Holdings, Inc.

On:  Wednesday, 4/17/24, at 8:30pm ET   ·   For:  4/15/24   ·   As:  Director   ·   Accession #:  1493152-24-15097   ·   File #:  1-40261

Previous ‘4’:  ‘4’ on 11/23/22 for 11/22/22   ·   Latest ‘4’:  This Filing

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

 4/17/24  Bottomley John                    4          Director    1:8K   Soluna Holdings, Inc.             M2 Compliance LLC/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      9K 
                Securities by an Insider -- ownership.xml/5.8


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  4/15/24
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  64463
Issuer Name:  Soluna Holdings, Inc
Issuer Trading Symbol:  SLNH
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1891682
Owner Name:  Bottomley John
Reporting Owner Address:
Owner Street 1:  C/O SOLUNA HOLDINGS, INC.
Owner Street 2:  325 WASHINGTON AVENUE EXTENSION
Owner City:  ALBANY
Owner State:  NY
Owner ZIP Code:  12205
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:
Other Text:
Aff 10b5 One:  0
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  9.0% Series A Cumulative Perpetual Preferred Stock
Transaction Date:
Value:  4/15/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  26,489
Footnote ID:  F1
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  27,489
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  4/15/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  35,294
Footnote ID:  F2
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  37,254
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Stock Options (Right to Buy)
Conversion or Exercise Price:
Value:  23.75
Transaction Date:
Value:  4/15/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  3,125
Transaction Price Per Share:
Footnote ID:  F4
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F3
Expiration Date:
Value:  11/22/27
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  3,125
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  Transaction reported is a grant of 26,489 restricted stock awards representing shares of Series A Cumulative Perpetual Preferred Stock, par value $0.001 per share, of the issuer ("Preferred Stock"), which were approved by the Compensation Committee. The shares of Preferred Stock will vest 100% upon the reporting person's separation from the issuer.
Footnote - F2:  Transaction reported is a grant of 35,294 restricted stock awards representing shares of Common Stock, which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.
Footnote - F3:  All shares of Common Stock subject to this stock option were vested and exercisable on the date of cancellation.
Footnote - F4:  On April 15, 2024, the stock options were cancelled by mutual agreement of the reporting person and the issuer.
Remarks:  On October 13, 2023, the issuer effected a reverse stock split (the "Reverse Stock Split") of outstanding shares of its common stock, par value $0.001 per share ("Common Stock"), pursuant to which every 25 shares of Common Stock were automatically reclassified into one new share of Common Stock. Proportionate adjustments were made to the issuer's outstanding equity awards as well as the exercise, grant and acquisition prices of such equity awards, as applicable. Accordingly, all amounts of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
Owner Signature:
Signature Name:  /s/ Christopher Gandolfo, Attorney in Fact
Signature Date:  4/17/24


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Filing Submission 0001493152-24-015097   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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