SEC Form 4 · accession 0001179110-17-001439
National Bank Holdings Corp · NBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert E Dean
Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 1, 2017 · 5:34 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 Stock | Jan 31, 2017 | M | 8,000 | $20.00 | A | 36,556 | D | |
| Common Stock | Jan 31, 2017 | F | 4,924 | $32.50 | D | 31,632 | D | |
| Common StockF1 | Jan 31, 2017 | S | 6,000 | $32.125 | D | 25,632 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $20.00 | Jan 31, 2017 | M | 8,000 | D | — | Oct 11, 2018 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.10 to $32.20, inclusive. The reporting person undertakes to provide to NBHC, any security holder of NBHC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F2Time-vested stock option award. Award vested in two equal annual installments, the first of which occurred on October 11, 2013.