SEC Form 4 · accession 0001496701-18-000002
NICHOLAS FINANCIAL INC · NICK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas W Marohn
Officer — President & CEO · Director
Period of report
Aug 9, 2018
Accepted (ET)
Aug 10, 2018 · 4:29 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 | Aug 9, 2018 | P | 6,000 | $10.99 | A | 28,158 | D | |
| CommonF1 | Aug 9, 2018 | A | 6,000 | $0.00 | A | 34,158 | D | |
| Common | Aug 10, 2018 | P | 500 | $10.91 | A | 34,658 | D | |
| CommonF2 | Aug 10, 2018 | A | 500 | $0.00 | A | 35,158 | D | |
| Common | holding | — | — | — | 39 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were awarded pursuant to the reporting person's employment agreement. The closing stock price of the issuer's common stock reported on NASDAQ on 8/9/2018 was $11.02
- F2These shares were awarded pursuant to the reporting person's employment agreement. The closing stock price of the issuer's common stock reported on NASDAQ on 8/10/18 was $10.76