SEC Form 4 · accession 0001179110-16-020942
National Bank Holdings Corp · NBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G. Timothy Laney
Officer — Chief Executive Officer · Director
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 5:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001475841
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 1, 2016 | A | 16,104 | $0.00 | A | 563,248 | D | |
| Common Stock | holding | — | — | — | 8,859 | I | By The Timothy Laney 2012 Grantor Retained Annuity Trust |
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)F3 | $19.56 | Mar 1, 2016 | A | 49,763 | A | — | Mar 1, 2026 | Common Stock | 49,763 | 49,763 | D |
Explanation of responses
- F1Shares of restricted stock granted under the NBHC 2014 Omnibus Incentive Plan. The shares are time vesting and vest in three equal annual installments beginning on April 28, 2017.
- F2Includes 1,336 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on August 31, 2015. Also includes 30,103 shares of common stock that were previously distributed to the reporting person from the reporting person's Grantor Retained Annuity Trust, therefore changing his ownership of these shares from indirect to direct.
- F3Granted under the NBHC 2014 Omnibus Incentive Plan. The stock option award is scheduled to vest in three equal annual installments beginning on April 28, 2017.