SEC Form 4 · accession 0001171843-16-009333
First NBC Bank Holding Co · FNBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William M. Roohi
Officer — SVP and Director of HR
Period of report
Apr 20, 2016
Accepted (ET)
Apr 22, 2016 · 3:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001496631
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1 | Apr 20, 2016 | M | 5,000 | $10.00 | A | 6,108 | D | |
| COMMON STOCKF1 | Apr 20, 2016 | F | 3,186 | $21.60 | D | 2,922 | D | |
| COMMON STOCKF2 | holding | — | — | — | 520 | I | BY ISSUER ESOP | |
| COMMON STOCKF3 | holding | — | — | — | 4,500 | I | BY ISSUER 401K |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTIONSF4 | $10.00 | Apr 20, 2016 | M | 5,000 | D | — | May 19, 2016 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. The reporting person received 1,814 shares of common stock on net exercise of options to purchase 5,000 shares of common stock. The reporting person surrendered 3,186 shares of common stock underlying the option in payment of the exercise price and satisfaction of withholding obligations, using a closing stock price on Apil 20, 2016 of $21.60 per share.
- F2Reflects shares allocated to the account of the reporting person pursuant to the issuer's Employee Stock Ownership Plan.
- F3Reflects shares allocated to the account of the reporting person pursuant to the issuer's 401(k) Retirement Savings Plan.
- F4Options vested in three equal annual installments beginning on May 19, 2007 and were fully exercisable.