SEC Form 4 · accession 0001209191-16-116943
National American University Holdings, Inc. · NAUH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald L Shape
Officer — CEO · Director
Period of report
Apr 30, 2016
Accepted (ET)
May 3, 2016 · 2:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001399855
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | Apr 30, 2016 | A | 3,840 | $0.00 | A | 390,405 | D | |
| Common StockF3 | Apr 30, 2016 | F | 1,016 | $2.17 | D | 389,389 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported transaction involves an award of common stock issued under the National American University Holdings, Inc. 2009 Stock Option and Compensation Plan (the "Plan") and represents a portion of the reporting person's salary pursuant to the reporting person's employment agreement.
- F2The common stock was granted under the Plan and therefore the reporting person paid no price for the common stock.
- F3Represents withholding of shares of common stock to satisfy tax withholding obligations in connection with the award of common stock issued under the Plan.