SEC Form 3 · accession 0001179110-19-000497
National Bank Holdings Corp · NBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ruth Stevenson
Officer — Chief Client Executive
Period of report
Jan 1, 2019
Accepted (ET)
Jan 7, 2019 · 5:29 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 | holding | — | — | — | 15,748 | 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 | $33.99 | holding | — | — | — | — | Feb 21, 2028 | Common Stock | 2,407 | — | D |
| Employee Stock Option (Right to Buy)F3 | $32.65 | holding | — | — | — | — | Mar 1, 2028 | Common Stock | 1,546 | — | D |
Explanation of responses
- F1Total includes 2,930 shares of unvested restricted stock granted under the NBHC 2014 Omnibus Incentive Plan. Vesting of said shares is contingent upon continued employment and is scheduled as follows: (i) 1,377 will vest on April 28, 2019; (ii) 1,378 will vest on April 28, 2020; and (iii) 175 will vest on April 28, 2021.
- F2Granted under the NBHC 2014 Omnibus Incentive Plan. Stock option award is subject to continued employment and is time vesting. The first installment vests on April 28, 2019, and the second installment vests on April 28, 2020.
- F3Granted under the NBHC 2014 Omnibus Incentive Plan. Stock option award is subject to continued employment and is time vesting. The first installment vests on April 28, 2019, the second installment vests on April 28, 2020, and the third installment vests on April 28, 2021.