SEC Form 4 · accession 0001000045-17-000009
NICHOLAS FINANCIAL INC · NICK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Fink
Director
Period of report
Sep 7, 2017
Accepted (ET)
Sep 13, 2017 · 3:07 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 StockF3 | Sep 7, 2017 | A | 504 | $0.00 | A | 9,500 | 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 | $12.95 | holding | — | — | — | — | Aug 13, 2025 | Common Stock | 5,000 | 5,000 | D |
| Stock Option (right to buy)F2 | $11.44 | holding | — | — | — | — | Aug 7, 2022 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1The option was granted on August 13, 2015. It vests in three equal annual installments and will be fully vested on August 13, 2018.
- F2The option was granted on August 7, 2012. It vests in three equal annual installments and was fully vested on August 7, 2015.
- F3This amount includes 100 shares paid as a 10% stock dividend on December 7, 2009 on the 1,000 shares then owned by the reporting person.