SEC Form 4 · accession 0001127602-16-050898
NICOLET BANKSHARES INC · NIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Cera
Officer — Co-Chairman, Co-CEO & Co-Pres. · Director
Period of report
Apr 29, 2016
Accepted (ET)
May 3, 2016 · 5:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001174850
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 29, 2016 | A | 25,974 | $0.00 | A | 25,974 | D | |
| Common StockF2 | Apr 29, 2016 | A | 47,218 | — | A | 73,192 | D | |
| Common StockF2 | Apr 29, 2016 | A | 6,775 | — | A | 6,775 | I | By 401K |
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,F3 | $9.19 | Apr 29, 2016 | A | 8,056 | A | — | Mar 15, 2021 | Common Stock | 8,056 | 8,056 | D |
| Stock Option (Right to Buy)F2,F4 | $13.73 | Apr 29, 2016 | A | 10,070 | A | — | Apr 1, 2022 | Common Stock | 10,070 | 10,070 | D |
| Stock Option (Right to Buy)F2,F5 | $21.04 | Apr 29, 2016 | A | 5,908 | A | — | Mar 19, 2023 | Common Stock | 5,908 | 5,908 | D |
| Stock Option (Right to Buy)F2,F6 | $30.78 | Apr 29, 2016 | A | 7,065 | A | — | Mar 18, 2024 | Common Stock | 7,065 | 7,065 | D |
| Stock Option (Right to Buy)F2,F7 | $27.72 | Apr 29, 2016 | A | 6,522 | A | — | Mar 17, 2025 | Common Stock | 6,522 | 6,522 | D |
Explanation of responses
- F1Restricted Stock Grant issued in connection with terms of employment agreement.
- F2Acquired in connection with the Baylake Corp., and Nicolet Bankshares, Inc. merger, effective April 29, 2016.
- F3The stock option is fully vested and is currently exercisable as to 8,056.
- F4The stock option is currently exercisable as to 8,056 shares. The remaining 2,014 options vest on 4/1/2017.
- F5The stock option is currently exercisable as to 3,545 shares. The remaining 2,363 options vest 1,182 on 3/19/2017, and 1,181 on 3/19/2018.
- F6The stock option is currently exercisable as to 2,826 shares. The remaining 4,239 options vest 1,413 annually on 3/18/2017 through 3/18/2019, respectively.
- F7The stock option is currently exercisable as to 1,304 shares. The remaining 5,218 options vest 1,305 on 3/17/2017, 1,304 on 3/17/2018, 1,305 on 3/17/2019, and 1,304 on 3/17/2020, respectively.