SEC Form 4 · accession 0001127602-17-001806
NICOLET BANKSHARES INC · NIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann Kuchera Lawson
Officer — Chief Financial Officer
Period of report
Jan 13, 2017
Accepted (ET)
Jan 18, 2017 · 10:00 am EST
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 | Jan 13, 2017 | M | 400 | $16.00 | A | 14,869 | D | |
| Common Stock | holding | — | — | — | 800 | I | By 401(k) Plan |
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 | $16.00 | Jan 13, 2017 | M | 400 | D | — | Feb 2, 2019 | Common Stock | 400 | 7,900 | D |
Explanation of responses
- F1An adjustment of 90 shares omitted from the reporting person's original Form 3 filed on February 24, 2016. These shares were also omitted from four Form 4's filed by the reporting person after the original Form 3 was filed.
- F2The remaining 7,900 unexercised stock options are currently exercisable. The 20,000 options granted vested in five annual installments of 4,000 shares annually on February 2 of each year, beginning on February 2, 2009 and fully vesting on February 2, 2014.