SEC Form 4 · accession 0001609591-18-000001

NICHOLAS FINANCIAL INC · NICK

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Senior VP Branch Operations

Period of report

Mar 19, 2018

Accepted (ET)

Mar 20, 2018 · 12:59 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, 2018	M	3,300	$3.60	A	45,536	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option(right to buy)^F1,F2	$3.60	Mar 19, 2018	M	3,300	D	—	Mar 19, 2018	Common Stock	3,300	0	D
Stock Option(right to buy)^F1,F3	$0.77	holding	—	—	—	—	Nov 6, 2018	Common Stock	5,500	5,500	D
Stock Option(right to buy)^F1,F4	$1.20	holding	—	—	—	—	May 5, 2019	Common Stock	5,500	5,500	D
Stock Option(right to buy)^F1,F5	$10.96	holding	—	—	—	—	May 9, 2021	Common Stock	1,500	1,500	D
Stock Option(right to buy)^F1,F6	$10.87	holding	—	—	—	—	May 3, 2022	Common Stock	10,000	10,000	D
Stock Option(right to buy)^F7	$14.37	holding	—	—	—	—	Jun 13, 2024	Common Stock	25,000	25,000	D

F1The exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend.
F2The option vested in five equal installments beginning on March 19, 2008.
F3The option vested in five equal installments beginning on November 6, 2008.
F4The option vested in five equal installments beginning on May 5, 2009.
F5The option vested in five equal installments beginning on May 9, 2011.
F6The option vested in five equal installments beginning on May 3, 2012.
F7The option vested in five equal installments beginning on June 13, 2014.