Sec Form 4 Filing - Nierenberg David @ Houston Wire & Cable CO - 2020-03-16

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Nierenberg David
2. Issuer Name and Ticker or Trading Symbol
Houston Wire & Cable CO [ HWCC]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
19605 NE 8TH STREET
3. Date of Earliest Transaction (MM/DD/YY)
03/16/2020
(Street)
CAMAS, WA98607
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
COMMON STOCK ( 1 ) ( 2 ) 03/16/2020 P 115,050 A $ 2 664,888 I BY D3 FAMILY FUND LP ( 3 )
COMMON STOCK ( 1 ) ( 2 ) 03/16/2020 P 252,800 A $ 2 1,314,254 I BY D3 FAMILY BULLDOG FUND LP ( 3 )
COMMON STOCK ( 1 ) ( 2 ) 03/16/2020 P 31,950 A $ 2 64,216 I BY HAREDALE LTD ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Nierenberg David
19605 NE 8TH STREET
CAMAS, WA98607
X X
Nierenberg Investment Management Company, Inc.
19605 NE 8TH ST
CAMAS, WA98607
X
Signatures
/S/CHRISTOPHER M. MICKLAS, ATTORNEY-IN-FACT 03/17/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This Form 4 is filed jointly by David Nierenberg and Nierenberg Investment Management Company, Inc. Solely Mr. Nierenberg is a Director of the Issuer.
( 2 )Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer he or it does not directly own.
( 3 )NIERENBERG INVESTMENT MANAGEMENT COMPANY ("NIMCO") IS THE SOLE GENERAL PARTNER OF THE D3 FAMILY FUND, LP AND THE D3 FAMILY BULLDOG FUND, LP, AND THE SOLE INVESTMENT MANAGER OF HAREDALE LTD. (COLLECTIVELY, THE "FUNDS"). MR. NIERENBERG IS THE PRESIDENT OF NIMCO. BY VIRTUE OF THESE RELATIONSHIPS, EACH OF THE REPORTING PERSONS MAY BE DEEMED TO BENEFICIALLY OWN THE SECURITIES OWNED DIRECTLY BY THE FUNDS.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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