SEC Form 4 · accession 0001179110-16-020949
National Bank Holdings Corp · NBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard U Newfield Jr.
Officer — Chief Risk Mngmt Officer
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 6:03 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,F3 | Mar 1, 2016 | A | 4,236 | $0.00 | A | 140,612 | D | |
| Common StockF2,F3 | Mar 1, 2016 | A | 4,432 | $0.00 | A | 145,044 | 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)F4 | $19.56 | Mar 1, 2016 | A | 13,092 | A | — | Mar 1, 2026 | Common Stock | 13,092 | 13,092 | 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.
- F2Shares of restricted stock granted under the NBHC 2014 Omnibus Incentive Plan. The shares vest upon the later of (i) the third anniversary of the date of grant and (ii) the average closing stock price for any consecutive 30-day trading period equaling or exceeding $25 per share.
- F3Includes 258 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on August 31, 2015 and 280 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on February 29, 2016.
- F4Granted 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.