SEC Form 4 · accession 0001179110-19-002907
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
Feb 27, 2019
Accepted (ET)
Mar 1, 2019 · 4:49 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 | Feb 27, 2019 | M | 40,535 | $20.00 | A | 143,673 | D | |
| Common StockF2 | Feb 27, 2019 | S | 40,535 | $35.965 | D | 103,138 | D | |
| Common Stock | Feb 28, 2019 | M | 9,465 | $20.00 | A | 112,603 | D | |
| Common StockF3 | Feb 28, 2019 | S | 9,465 | $36.0638 | D | 103,138 | 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 | $20.00 | Feb 27, 2019 | M | 40,535 | D | — | Jan 25, 2021 | Common Stock | 40,535 | 59,465 | D |
| Employee Stock Option (Right to Buy)F4 | $20.00 | Feb 28, 2019 | M | 9,465 | D | — | Jan 25, 2021 | Common Stock | 9,465 | 50,000 | D |
Explanation of responses
- F1Includes 329 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on August 31, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.75 to $36.15, 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.94 to $36.18, 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.
- F4Time-vested stock option award. Stock options vested in equal installments on October 21, 2011, and October 21, 2012.