SEC Form 4 · accession 0001179110-17-003875
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, 2017
Accepted (ET)
Mar 3, 2017 · 6:11 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, 2017 | A | 2,291 | $0.00 | A | 110,212 | 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)F3 | $34.04 | Mar 1, 2017 | A | 6,607 | A | — | Mar 1, 2027 | Common Stock | 6,607 | 6,607 | 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, 2018.
- F2Includes 164 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on February 28, 2017.
- 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, 2018.