Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G/A
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. )
Ashford Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
044104-10-7
(CUSIP Number)
December 31, 2023
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant
to which this Schedule is filed:
|X| Rule 13d 1(b)
| | Rule 13d 1(c)
| | Rule 13d 1(d)
*The remainder of this cover page shall be filled out
for a reporting person's initial filing on this form with
respect to the subject class of securities, and for any
subsequent amendment containing information which would
alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover
page shall not be deemed to be "filed" for the purpose
of Section 18 of the Securities Exchange Act of 1934 ("Act")
or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other
provisions of the Act (however, see the Notes).
CUSIP No. 044104-10-7
1 Name of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (entities
only).
ZHENGXU HE
2 Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) | |
(b) | |
3 SEC Use Only
4 Citizenship or Place of Organization
USA
5 Sole Voting Power
297,500 SH
NUMBER OF 6 Shared Voting Power
SHARES
BENEFICIALLY 0 SH
OWNED BY
EACH 7 Sole Dispositive Power
REPORTING
PERSON 297,500 SH
WITH:
8 Shared Dispositive Power
0 SH
9 Aggregate Amount Beneficially Owned by Each Reporting
Person
297,500 SH
10 Check Box if the Aggregate Amount in Row (9) Excludes
Certain Shares
(See Instructions)
| |
11 Percent of Class Represented by Amount in Item (9)
8.31%
12 Type of Reporting Person (See Instructions)
OO
CUSIP No. 044104-10-7
1 Name of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (entities
only).
Zhengxu He
2 Check the Appropriate Box if a Member of a Group (See
Instructions)
(a) | |
(b) | |
3 SEC Use Only
4 Citizenship or Place of Organization
USA
5 Sole Voting Power
297,500 SH
NUMBER OF 6 Shared Voting Power
SHARES
BENEFICIALLY 0 SH
OWNED BY
EACH 7 Sole Dispositive Power
REPORTING
PERSON 297,500 SH
WITH:
8 Shared Dispositive Power
0 SH
9 Aggregate Amount Beneficially Owned by Each Reporting
Person
297,500 SH
10 Check Box if the Aggregate Amount in Row (9) Excludes
Certain Shares
(See Instructions)
| |
11 Percent of Class Represented by Amount in Item (9)
8.31%
12 Type of Reporting Person (See Instructions)
OO
CUSIP No. 044104-10-7
ITEM 1.
(A) NAME OF ISSUER:
Ashford Inc.
(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICE:
14185 Dallas Parkway, Suite 1100, Dallas, Texas 75254
ITEM 2.
(A) NAME OF PERSON FILING:
ZHENGXU HE
(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE,
RESIDENCE:
5150 Hidalgo St., Houston, TX 77056
(C) CITIZENSHIP:
USA
(D) TITLE OF CLASS OF SECURITIES:
Common Units (Representing Limited Partner Interests)
(E) CUSIP NUMBER:
044104-10-7
ITEM 3.
If this statement is filed pursuant to ss.240.13d 1(b),
or 240.13d
2 (b)
or (c), check whether the person filing is a:
(a) | | Broker or dealer registered under section
15 of the
Act
(15 U.S.C. 78o).
(b) | | Bank as defined in section 3(a)(6) of the
Act (15 U.S.C. 78c).
(c) | | Insurance company as defined in section
3(a)(19) of the Act (15 U.S.C. 78c).
(d) | | Investment company registered under
section 8 of the Investment Company Act
of 1940 (15 U.S.C 80a 8).
(e) | | An investment adviser in accordance with
ss.240.13d 1(b)(1)(ii)(E);
(f) | | An employee benefit plan or endowment fund
in accordance with ss.240.13d 1(b)(1)(ii)(F);
(g) | | A parent holding company or control person
in accordance with ss. 240.13d 1(b)(1)(ii)(G);
(h) | | A savings associations as defined in
Section 3(b) of the Federal Deposit Insurance Act (12U.S.C.
1813);
(i) | | A church plan that is excluded from the
definition of an investment company under section 3(c)(14) of
the Investment Company Act of 1940 (15 U.S.C. 80a 3);
(j) | | Group, in accordance with ss.240.13d
1(b)(1)(ii)(J).
ITEM 4. OWNERSHIP EXHIBIT A
Provide the following information regarding the
aggregate number and percentage of the class of securities
of the issuer identified in Item 1.
(a) Amount beneficially owned: 297,500 SH
(b) Percent of class: 8.31%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
297,500 SH
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the
disposition of:
297,500 SH
(iv) Shared power to dispose or to direct the
disposition of:
0
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the
beneficial owner of more than five percent of the class
of securities, check the following [ ].
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF
ANOTHER PERSON.
EXHIBIT A
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY
WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT
HOLDING
COMPANY.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE
GROUP.
EXHIBIT A
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
ITEM 10. CERTIFICATION.
By signing below I certify that, to the best of my knowledge
and belief,
the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and
were not acquired and are not held in connection with or
as a participant in any transaction having that
purpose or effect.
Dated: April 3, 2024
/S/ Zhengxu He
Name: ZHENGXU HE
Title: Shareholder