SEC Form 4 · accession 0001127602-17-018623
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
Mar 1, 2017
Accepted (ET)
May 18, 2017 · 3:32 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 Stock | Mar 1, 2017 | M | 6,875 | $16.00 | A | 19,437 | D | |
| Common Stock | May 16, 2017 | M | 1,025 | $16.00 | A | 19,804 | D | |
| Common Stock | May 16, 2017 | M | 500 | $16.80 | A | 20,304 | 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)F1 | $16.00 | Mar 1, 2017 | M | 6,875 | D | — | Feb 2, 2019 | Common Stock | 6,875 | 1,025 | D |
| Stock Option (Right to Buy)F1 | $16.00 | May 16, 2017 | M | 1,025 | D | — | Feb 2, 2019 | Common Stock | 1,025 | 0 | D |
| Stock Option (Right to Buy)F2 | $16.80 | May 16, 2017 | M | 500 | D | — | Dec 15, 2019 | Common Stock | 500 | 9,500 | D |
Explanation of responses
- F1As of May 16, 2017 all stock options awarded on 02/02/09 have been fully exercised.
- F2The stock option is currently exercisable for all 9,500 shares. The options vested in five annual installments of 2,000 shares annually on December 15 of each year, beginning on December 15, 2010 and fully vesting on December 15, 2014.