Form 4 for NBHC National Bank Holdings Corp
Accepted 2021-11-15 00:00:00 ET · period of report 2021-11-11 · accession 0001179110-21-010125 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-15 | 2021-11-11+ | NBHC | Newfield Richard U Jr. | Chief Risk Mngmt Off | M - OptEx | $18.96 | +38.4K | 127.8K | +43% | +$728.0K |
| DM | 2021-11-15 | 2021-11-11+ | NBHC | Newfield Richard U Jr. | Chief Risk Mngmt Off | S - Sale+OE | $45.60 | -38.4K | 122.9K | -24% | -$1.75M |
| DM | 2021-11-15 | 2021-11-11+ | NBHC | Newfield Richard U Jr. | Chief Risk Mngmt Off | M - OptEx | $0.00 | -38.4K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-11 | M | A | 9,780 | $18.09 | 132,692 | D | — | — | (F1) Includes 442 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on August 31, 2021. |
| 2 | Common | Common Stock | 2021-11-11 | M | A | 7,200 | $18.92 | 139,892 | D | — | — | |
| 3 | Common | Common Stock | 2021-11-11 | M | A | 3,020 | $19.08 | 142,912 | D | — | — | |
| 4 | Common | Common Stock | 2021-11-11 | S | D | 20,000 | $45.90 | 122,912 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.50 to $46.22, inclusive. The reporting person undertakes to provide to NBHC, any security holder of NBHC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
| 5 | Common | Common Stock | 2021-11-15 | S | D | 13,491 | $45.23 | 122,912 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.42, inclusive. The reporting person undertakes to provide to NBHC, any security holder of NBHC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
| 6 | Common | Common Stock | 2021-11-12 | S | D | 4,900 | $45.41 | 122,912 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.40 to $45.45, inclusive. The reporting person undertakes to provide to NBHC, any security holder of NBHC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. |
| 7 | Common | Common Stock | 2021-11-15 | M | A | 399 | $19.08 | 123,311 | D | — | — | |
| 8 | Common | Common Stock | 2021-11-15 | M | A | 13,092 | $19.56 | 136,403 | D | — | — | |
| 9 | Common | Common Stock | 2021-11-12 | M | A | 4,900 | $19.08 | 127,812 | D | — | — | |
| 10 | Derivative | Employee Stock Option (Right to Buy) | 2021-11-15 | M | D | 399 | $0.00 | 0 | D | $19.08 · — to 2025-04-28 | 399 Common Stock | (F7) Time-vested stock option award. Stock options vested in equal installments on April 28, 2016, April 28, 2017 and April 28, 2018. |
| 11 | Derivative | Employee Stock Option (Right to Buy) | 2021-11-15 | M | D | 13,092 | $0.00 | 0 | D | $19.56 · — to 2026-03-01 | 13,092 Common Stock | (F8) Time-vested stock option award. Stock options vested in equal installments on April 28, 2017, April 28, 2018 and April 28, 2019. |
| 12 | Derivative | Employee Stock Option (Right to Buy) | 2021-11-12 | M | D | 4,900 | $0.00 | 399 | D | $19.08 · — to 2025-04-28 | 4,900 Common Stock | (F7) Time-vested stock option award. Stock options vested in equal installments on April 28, 2016, April 28, 2017 and April 28, 2018. |
| 13 | Derivative | Employee Stock Option (Right to Buy) | 2021-11-11 | M | D | 3,020 | $0.00 | 5,299 | D | $19.08 · — to 2025-04-28 | 3,020 Common Stock | (F7) Time-vested stock option award. Stock options vested in equal installments on April 28, 2016, April 28, 2017 and April 28, 2018. |
| 14 | Derivative | Employee Stock Option (Right to Buy) | 2021-11-11 | M | D | 7,200 | $0.00 | 0 | D | $18.92 · — to 2024-04-29 | 7,200 Common Stock | (F6) Time-vested stock option award. Stock options vested in equal installments on April 29, 2015, April 29, 2016 and April 29, 2017. |
| 15 | Derivative | Employee Stock Option (Right to Buy) | 2021-11-11 | M | D | 9,780 | $0.00 | 0 | D | $18.09 · — to 2023-05-02 | 9,780 Common Stock | (F5) Time-vested stock option award. Stock options vested in equal installments on May 2, 2016 and May 2, 2017. |