SEC Form 4 · accession 0001000045-17-000001
NICHOLAS FINANCIAL INC · NICK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Ralph Finkenbrink
Officer — CEO & President · Director
Period of report
May 16, 2017
Accepted (ET)
May 30, 2017 · 3:52 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 16, 2017 | A | 5,194 | $0.00 | A | 96,098 | 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,F3 | $6.58 | holding | — | — | — | — | Aug 31, 2017 | Common Stock | 11,000 | 11,000 | D |
| Stock Option (right to buy)F2,F4 | $3.60 | holding | — | — | — | — | Mar 19, 2018 | Common Stock | 8,200 | 8,200 | D |
| Stock Option (right to buy)F2,F5 | $3.50 | holding | — | — | — | — | Apr 1, 2018 | Common Stock | 38,500 | 38,500 | D |
| Stock Option (right to buy)F6 | $14.37 | holding | — | — | — | — | Jun 13, 2024 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The award represents earned, but unvested shares underlying performance units, with the shares vesting on March 31, 2019.
- 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 options vested in five equal annual installments beginning on August 31, 2008.
- F4The options vested in three equal annual installments beginning on March 19, 2009.
- F5The options vested in three equal annual installments beginning on April 1, 2009.
- F6The options vest in five equal annual installments beginning on June 13, 2015.