SEC Form 4 · accession 0001209191-18-056852
National American University Holdings, Inc. · NAUH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald L Shape
Officer — President and CEO · Director
Period of report
Nov 1, 2018
Accepted (ET)
Nov 2, 2018 · 8:46 am 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 | Nov 1, 2018 | A | 13,441 | — | A | 488,972 | D | |
| Common StockF3 | Nov 1, 2018 | F | 3,273 | $0.621 | D | 485,699 | 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.