SEC Form 4 · accession 0001140361-15-016100
NICHOLAS FINANCIAL INC · NICK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Mahan
10% Owner
Period of report
Mar 19, 2015
Accepted (ET)
Apr 22, 2015 · 3:29 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,F2,F3 | Mar 19, 2015 | S | 354,411 | $14.85 | D | 87,399 | I | By Mahan Children II, LLC |
| Common StockF1,F2,F3 | Mar 19, 2015 | S | 320,068 | $14.85 | D | 332,838 | I | By Mahan Family II, LLC |
| Common StockF1 | Mar 19, 2015 | S | 70,883 | $14.85 | D | 9,117 | D | |
| Common StockF1,F4 | holding | — | — | — | 52,000 | I | By Basking Ridge Country Club, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1All share numbers reflect a 10% stock dividend paid on December 7, 2009.
- F2The reporting person is a manager and equity holder of the limited liability company that owns the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of the reporting person's pecuniary interest therein.
- F3Mahan Children II, LLC and Mahan Family II, LLC are the successors in interest to Mahan Children, LLC and Mahan Family, LLC, respectively, and each of such entities is identical in all material respects to its predecessor except that its state of organization is Florida rather than New Jersey.
- F4The reported securities were contributed by the reporting person to the corporation that owns the reported securities in a transaction exempt under Rule 16a-13. The reporting person is the sole equity holder, sole director and President of the corporation that owns the reported securities.