0000902691-17-000002.txt : 20170203 0000902691-17-000002.hdr.sgml : 20170203 20170203160922 ACCESSION NUMBER: 0000902691-17-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170202 FILED AS OF DATE: 20170203 DATE AS OF CHANGE: 20170203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MDC HOLDINGS INC CENTRAL INDEX KEY: 0000773141 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 840622967 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4350 S MONACO STREET STREET 2: SUITE 500 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 3037731100 MAIL ADDRESS: STREET 1: 4350 S MONACO STREET STREET 2: SUITE 500 CITY: DENVER STATE: CO ZIP: 80237 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MIZEL LARRY A CENTRAL INDEX KEY: 0000902691 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08951 FILM NUMBER: 17572188 MAIL ADDRESS: STREET 1: 4350 S. MONACO STREET STREET 2: SUITE 500 CITY: DENVER STATE: CO ZIP: 80237 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-02-02 0000773141 MDC HOLDINGS INC MDC 0000902691 MIZEL LARRY A 4350 S. MONACO STREET SUITE 500 DENVER CO 80237 1 1 1 0 Chairman of the Board and CEO Common Stock $.01 Par Value 2017-02-02 4 A 0 32200 0 A 82850 D Common Stock $.01 Par Value 3252373 I By Ari Capital Partners, LLLP Common Stock $.01 Par Value 21000 I By Cascia Holdings LLC Common Stock $.01 Par Value 1039500 I By Cheston Enterprises Trust Common Stock $.01 Par Value 1039500 I By Courtney Enterprises Trust Common Stock $.01 Par Value 4265 I By 401(k) Common Stock $.01 Par Value 1430324 I By CGM Capital, LLLP Shares of restricted stock granted on February 2, 2017 for no cash consideration pursuant to the Company's 2011 Equity Incentive Plan and a Restricted Stock Agreement. Pursuant to the Restricted Stock Agreement, the restrictions will lapse as to 33-1/3% of the shares on each of December 31, 2019, 2020 and 2021. All share amounts have been adjusted to reflect the distribution of a five percent (5%) stock dividend on December 20, 2016. Reporting Person may be deemed to have beneficial ownership of the shares held by Ari Capital Partners, LLLP ("Ari Capital"). The sole general partner of Ari Capital is CVentures, Inc. ("CVentures"), a corporation, which has approximately a 1% partnership interest in Ari Capital. Reporting Person and family members are the beneficiaries of various trusts which own approximately 50.7% of the stock of CVentures. Also, Reporting Person is a director and chairman of the board of CVentures and may be deemed to control the other approximately 49.3% of the common stock of CVentures. A trust, of which Reporting Person is the sole beneficiary, is the sole limited partner of Ari Capital, and has approximately a 99% partnership interest in Ari Capital. Reporting Person and Reporting Person's spouse are trustees of the trust. Reporting Person may be deemed to have beneficial ownership of the shares held by Cascia Holdings LLC ("Cascia"). Cascia holds 2,100,000 shares. Reporting Person's spouse, who is the sole manager of Cascia, holds all of the voting LLC units in Cascia, which constitutes 1% of the total outstanding LLC units in Cascia and represents a pecuniary interest in 20,000 shares. Two separate trusts (Cheston Enterprises Trust and Courtney Enterprises Trust) hold all of Cascia's nonvoting LLC units, which constitute 99% of the total outstanding LLC units in Cascia. Reporting Person's spouse is one of the trustees of each of the two trusts and Reporting Person's family members are the beneficiaries of these trusts. Reporting Person may be deemed to have beneficial ownership of these shares which are beneficially owned by this trust. Reporting Person's spouse is a trustee of this trust and a family member of Reporting Person is the beneficiary of this trust. Unitized shares held in a stock fund in the Reporting Person's 401(k) Savings Plan which changes on a daily basis. Reporting Person may be deemed to have beneficial ownership of the shares held by CGM Capital LLLP ("CGM Capital"). The general partner of CGM Capital is CVentures, which has a 1% partnership interest in CGM Capital. A trust, of which Reporting Person's spouse is the sole beneficiary, is the sole limited partner of CGM Capital, and has a 99% partnership interest in CGM Capital. Reporting Person and Reporting Person's spouse are trustees of this trust. Joseph H. Fretz, Attorney-in-Fact 2017-02-03