SEC Form 4 · accession 0001179110-18-010932
National Bank Holdings Corp · NBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Whitney A. Bartelli
Officer — Chief Marketing Officer
Period of report
Aug 23, 2018
Accepted (ET)
Aug 27, 2018 · 5:52 pm EDT
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 | Aug 23, 2018 | M | 976 | $19.85 | A | 3,562 | D | |
| Common Stock | Aug 23, 2018 | M | 472 | $19.56 | A | 4,034 | D | |
| Common StockF1 | Aug 23, 2018 | S | 1,448 | $40.688 | D | 2,586 | D | |
| Common Stock | Aug 24, 2018 | S | 985 | $40.6266 | D | 1,601 | 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)F2 | $19.85 | Aug 23, 2018 | M | 976 | D | — | Sep 1, 2025 | Common Stock | 976 | 490 | D |
| Employee Stock Option (Right to Buy)F3 | $19.56 | Aug 23, 2018 | M | 472 | D | — | Mar 1, 2026 | Common Stock | 472 | 238 | 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 $40.68 to $40.6919, 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. Stock options vest in equal installments on October 1, 2016, October 1, 2017, and October 1, 2018.
- F3Time-vested stock option award. Stock options vest in equal installments on April 28, 2017, April 28, 2018, and April 28, 2019.