SEC Form 4 · accession 0001000045-16-000008
NICHOLAS FINANCIAL INC · NICK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Fink
Director
Period of report
Sep 8, 2016
Accepted (ET)
Oct 4, 2016 · 4:43 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 StockF1 | Sep 8, 2016 | A | 396 | $0.00 | A | 8,996 | 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)F2 | $12.95 | holding | — | — | — | — | Aug 13, 2025 | Common Stock | 5,000 | 5,000 | D |
| Stock Option (right to buy)F3 | $11.44 | holding | — | — | — | — | Aug 7, 2022 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Includes 100 shares paid as a 10% stock dividend on December 7, 2009 on the 1,000 shares then owned by the reporting person.
- F2The option was granted on August 13, 2015. It vests in three equal annual installments and will be fully vested on August 13, 2018.
- F3The option was granted on August 7, 2012. It vests in three equal installments and was fully vested on August7, 2015.