SEC Form 4 · accession 0001547903-16-000266
NMI Holdings, Inc. · NMIH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Ozanne
Director
Period of report
Aug 3, 2016
Accepted (ET)
Aug 4, 2016 · 4:46 pm EDT
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 | Aug 3, 2016 | P | 5,000 | $6.78 | A | 30,000 | I | By LLC |
| Class A Common Shares, $0.01 par value per shareF3 | holding | — | — | — | 77,467 | D | ||
| 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 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The common stock was purchased in a series of open market transactions on the transaction date, with a volume weighted average purchase price of $6.7765. The range of purchase prices on the transaction date was $6.775 to $6.78 per share. The reporting person undertakes to provide upon request 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 59,298 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 in the sole trustee and sole beneficiary and 8,169 unvested restricted stock units.