SEC Form 4 · accession 0001140361-15-016862
NICHOLAS FINANCIAL INC · NICK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alton Neal
Director
Period of report
Mar 19, 2015
Accepted (ET)
Apr 29, 2015 · 5:41 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 | Mar 19, 2015 | D | 22,862 | $14.85 | D | 2,988 | 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 | $11.44 | holding | — | — | — | — | Aug 7, 2022 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3.
- F2This option vests in three equal installments beginning on August 7, 2013.