SEC Form 4 · accession 0001475841-15-000074
National Bank Holdings Corp · NBHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Metzger
Officer — Chief Ent. Tech. & Integration
Period of report
Nov 10, 2015
Accepted (ET)
Nov 13, 2015 · 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 Stock | Nov 10, 2015 | M | 402,500 | $20.00 | A | 637,324 | D | |
| Common Stock | Nov 10, 2015 | F | 375,311 | $23.05 | D | 262,013 | D | |
| Common Stock | Nov 10, 2015 | M | 50,000 | $20.00 | A | 312,013 | D | |
| Common Stock | Nov 10, 2015 | F | 46,622 | $23.05 | D | 265,391 | D | |
| Common Stock | Nov 10, 2015 | M | 1,333 | $18.92 | A | 266,724 | D | |
| Common Stock | Nov 10, 2015 | F | 1,211 | $23.05 | D | 265,513 | 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)F1 | $20.00 | Nov 10, 2015 | M | 402,500 | D | — | Oct 20, 2019 | Common Stock | 402,500 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $20.00 | Nov 10, 2015 | M | 50,000 | D | — | Oct 11, 2018 | Common Stock | 50,000 | 0 | D |
| Employee Stock Option (Right to Buy)F3 | $18.92 | Nov 10, 2015 | M | 1,333 | D | — | Apr 29, 2024 | Common Stock | 1,333 | 2,667 | D |
Explanation of responses
- F1Time-vested stock option award. Stock options vested in equal installments on October 20, 2011 and October 20, 2012.
- F2Time-vested stock option award. Stock options vested in equal installments on October 11, 2012, October 11, 2013 and October 11, 2014.
- F3Time-vested stock option award. First tranche of 1,333 stock options vested on April 29, 2015.