SEC Form 4 · accession 0001127602-17-033347
NICOLET BANKSHARES INC · NIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Gilson
Director
Period of report
Nov 27, 2017
Accepted (ET)
Nov 28, 2017 · 2:22 pm 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 Stock | Nov 27, 2017 | M | 1,886 | $9.19 | A | 26,625 | D | |
| Common Stock | Nov 27, 2017 | M | 400 | $13.73 | A | 27,025 | D | |
| Common Stock | Nov 27, 2017 | S | 200 | $58.00 | D | 26,825 | D | |
| Common Stock | Nov 27, 2017 | S | 100 | $58.10 | D | 26,725 | D | |
| Common Stock | Nov 28, 2017 | S | 1,986 | $58.00 | D | 24,739 | D | |
| Common StockF1 | holding | — | — | — | 1,072 | I | Shares owned by an adult child of Mr. Gilson for whom he serves as agent under a power of attorney |
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 | $9.19 | Nov 27, 2017 | M | 1,886 | D | — | Apr 28, 2018 | Common Stock | 1,886 | 0 | D |
| Stock Option (Right to Buy)F3 | $13.73 | Nov 27, 2017 | M | 400 | D | — | Apr 28, 2018 | Common Stock | 400 | 1,486 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F2The 1,886 nonqualified options exercised were immediately vested options upon the consummation of the merger with Baylake Corp. on April 29, 2016.
- F3The stock option is currently exercisable as to 1,486 shares. The options vested immediately upon consummation of the merger with Baylake Corp. on April 29, 2016.