SEC Form 4 · accession 0001547903-15-000166
NMI Holdings, Inc. · NMIH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Ozanne
Director
Period of report
Dec 8, 2015
Accepted (ET)
Dec 9, 2015 · 5:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001547903
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Shares, $0.01 par value per shareF1,F2 | Dec 8, 2015 | P | 10,000 | $7.0893 | A | 20,000 | I | By LLC |
| Class A Common Shares, $0.01 par value per share | holding | — | — | — | 10,000 | I | By Susan A. Ozanne Family Trust, of which Mr. Ozanne and his wife are co-trustees and beneficiaries | |
| Class A Common Shares, $0.01 par value per shareF3 | holding | — | — | — | 69,298 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The common stock was purchased by Greenrange Partners LLC in a series of open market transactions on the transaction date, with a volume weighted average purchase price of $7.0893. The range of purchase prices on the transaction date was $7.04 to $7.10 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.
- F2The common stock was purchased by Greenrange Partners LLC, a venture capital investment company, for which the reporting person serves as principal. As a principal, the reporting person may be deemed to beneficially own the shares of stock held by Greenrange Partners LLC.
- F3Represents 53,267 class A common shares, 10,000 class A common shares held by the James H. Ozanne Revocable Trust, a living trust of which the reporting person is the sole trustee and sole beneficiary and 6,031 unvested restricted stock units.