SEC Form 4 · accession 0001547903-18-000078
NMI Holdings, Inc. · NMIH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Ozanne
Director
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 6:14 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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit (right to receive)F1,F2 | May 10, 2018 | A | 4,923 | $0.00 | A | 89,629 | 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 | |
| Class A Common Shares, $0.01 par value per shareF3 | holding | — | — | — | 35,000 | I | By LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents restricted stock units granted pursuant to the NMIH Amended and Restated 2014 Omnibus Incentive Plan on May 10, 2018. The restricted stock units grant on the first anniversary of the grant date.
- F2Represents 74,706 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 4,923 unvested restricted stock units.
- F3The common stock is held 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 be beneficially own the shares of stock held by Greenrange Partners LLC.