SEC Form 4 · accession 0001000045-15-000001
NICHOLAS FINANCIAL INC · NICK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Dean Bates
Officer — Senior VP of Operations · Director
Period of report
May 12, 2015
Accepted (ET)
Jun 17, 2015 · 4:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001000045
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 12, 2015 | M | 1,650 | $9.412 | A | 24,700 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $9.412 | May 12, 2015 | M | 1,650 | D | — | May 12, 2015 | Common Stock | 1,650 | 0 | D |
| Stock Option (right to buy)F2,F3 | $8.21 | holding | — | — | — | — | May 8, 2017 | Common Stock | 5,500 | 8 | D |
| Stock Option (right to buy)F2,F4 | $3.60 | holding | — | — | — | — | Mar 19, 2018 | Common Stock | 3,300 | 4 | D |
| Stock Option (right to buy)F2,F5 | $0.77 | holding | — | — | — | — | Nov 6, 2018 | Common Stock | 5,500 | 1 | D |
| Stock Option (right to buy)F2,F6 | $1.20 | holding | — | — | — | — | May 5, 2019 | Common Stock | 5,500 | 1 | D |
| Stock Option (right to buy)F2,F7 | $10.96 | holding | — | — | — | — | May 9, 2021 | Common Stock | 1,500 | 11 | D |
| Stock Option (right to buy)F2,F8 | $10.87 | holding | — | — | — | — | May 3, 2022 | Common Stock | 10,000 | 11 | D |
| Stock Option (right to buy)F9 | $14.37 | holding | — | — | — | — | Jun 13, 2024 | Common Stock | 25,000 | 14 | D |
Explanation of responses
- F1The option is vested in five equal annual installments beginning May 12, 2005.
- F2The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend.
- F3The option vested in five equal annual installments beginning May 8, 2007.
- F4The option vested in five equal annual installments beginning March 19, 2008.
- F5The option vested in five equal annual installments beginning November 6, 2008.
- F6The option vested in five equal annual installments beginning May 5, 2009.
- F7The option vested in five equal annual installments beginning May 9, 2011.
- F8The option vested in five equal annual installments beginning May 3, 2012.
- F9The option vested in five equal annual installments beginning June 13, 2014.