SEC Form 4 · accession 0001209191-18-055920
National American University Holdings, Inc. · NAUH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Robert Castle
Officer — System VP of Enrollment Mktg
Period of report
Oct 20, 2018
Accepted (ET)
Oct 23, 2018 · 1:51 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 Stock | Oct 20, 2018 | A | 625 | $0.00 | A | 625 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $0.56 | Oct 20, 2018 | A | 625 | A | — | Oct 20, 2028 | Common Stock | 625 | 625 | D |
Explanation of responses
- F1312 options vested immediately upon grant on October 20, 2018 and 313 options vest on June 1, 2019, provided that Mr. David Castle continues to serve as an employee of the Issuer or parent or subsidiary thereof.