SEC Form 4 · accession 0001127602-18-035802
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
Dec 10, 2018
Accepted (ET)
Dec 11, 2018 · 3:23 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 | Dec 10, 2018 | M | 2,000 | $37.18 | A | 22,375 | D | |
| Common Stock | Dec 10, 2018 | F | 1,615 | $51.49 | D | 20,760 | D | |
| Common Stock | Dec 10, 2018 | M | 2,000 | $16.80 | A | 22,760 | D | |
| Common Stock | Dec 10, 2018 | F | 653 | $51.49 | D | 22,107 | 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 | $37.18 | Dec 10, 2018 | M | 2,000 | D | — | Sep 20, 2026 | Common Stock | 2,000 | 8,000 | D |
| Stock Option (Right to Buy)F2 | $16.80 | Dec 10, 2018 | M | 2,000 | D | — | Dec 15, 2019 | Common Stock | 2,000 | 6,500 | D |
Explanation of responses
- F1The nonqualified options vest in five annual installments of 2,000 shares annually on September 20 of each year, beginning on September 20, 2017 and fully vest on September 20, 2021.
- F2The stock option is currently exercisable for all 6,500 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.