Form 4 for NP Neptune Insurance Holdings Inc.
Accepted 2025-10-03 00:00:00 ET · period of report 2025-10-02 · accession 0001193125-25-230522 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2025-10-03 | 2025-10-02 | NP | Burgess Trevor R | CEO, COB, Dir, 10% | J - Other | — | -43.44M | 511.0K | -99% | — |
| D | 2025-10-03 | 2025-10-02 | NP | Burgess Trevor R | CEO, COB, Dir, 10% | A - Grant | $0.00 | +1.98M | 1.98M | New | $0 |
| DMI | 2025-10-03 | 2025-10-02 | NP | Burgess Trevor R | CEO, COB, Dir, 10% | J - Other | — | +43.44M | 17.89M | New | — |
| DM | 2025-10-03 | 2025-10-02 | NP | Burgess Trevor R | CEO, COB, Dir, 10% | J - Other | $0.00 | 0 | 0 | New | $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 | Class A Common Stock | 2025-10-02 | J | A | 25,039,000 | — | 25,039,000 | I Held by Burgess Family SLAT, u/a/d March 26, 2025 | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, shares of Common Stock were automatically reclassified as shares of Class A Common Stock on a one-for-one basis upon the filing of the Second Amended and Restated Certificate of Incorporation of the Issuer immediately prior to the closing of the Issuer's initial public offering ("IPO"). (F2) The Reporting Person is the trustee of the trust. |
| 2 | Common | Class A Common Stock | 2025-10-02 | J | D | 25,039,000 | — | 0 | I Held by Burgess Family SLAT, u/a/d March 26, 2025 | — | — | (F3) Shares of Class A Common Stock were exchanged with the Issuer for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and the Issuer. (F2) The Reporting Person is the trustee of the trust. |
| 3 | Common | Common Stock | 2025-10-02 | J | D | 17,885,000 | — | 0 | I Held by the Trevor R. Burgess Irrevocable Trust of 2020, u/a/d March 24, 2025 | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, shares of Common Stock were automatically reclassified as shares of Class A Common Stock on a one-for-one basis upon the filing of the Second Amended and Restated Certificate of Incorporation of the Issuer immediately prior to the closing of the Issuer's initial public offering ("IPO"). (F4) Jonathan W. Meyer and David J. Rectenwald are Co-Trustees of the trust and may be replaced at the discretion of the Reporting Person. By virtue of his relationship with the trust, the Reporting Person is deemed to have an indirect beneficial interest in the shares held by the trust. The Reporting Person disclaims beneficial ownership of the shares held by the trust. |
| 4 | Common | Class A Common Stock | 2025-10-02 | J | A | 17,885,000 | — | 17,885,000 | I Held by the Trevor R. Burgess Irrevocable Trust of 2020, u/a/d March 24, 2025 | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, shares of Common Stock were automatically reclassified as shares of Class A Common Stock on a one-for-one basis upon the filing of the Second Amended and Restated Certificate of Incorporation of the Issuer immediately prior to the closing of the Issuer's initial public offering ("IPO"). (F4) Jonathan W. Meyer and David J. Rectenwald are Co-Trustees of the trust and may be replaced at the discretion of the Reporting Person. By virtue of his relationship with the trust, the Reporting Person is deemed to have an indirect beneficial interest in the shares held by the trust. The Reporting Person disclaims beneficial ownership of the shares held by the trust. |
| 5 | Common | Common Stock | 2025-10-02 | J | D | 511,000 | — | 0 | I Held by the Trevor R. Burgess Revocable Trust, u/a/d September 30, 2024 | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, shares of Common Stock were automatically reclassified as shares of Class A Common Stock on a one-for-one basis upon the filing of the Second Amended and Restated Certificate of Incorporation of the Issuer immediately prior to the closing of the Issuer's initial public offering ("IPO"). (F2) The Reporting Person is the trustee of the trust. |
| 6 | Common | Common Stock | 2025-10-02 | J | D | 25,039,000 | — | 0 | I Held by Burgess Family SLAT, u/a/d March 26, 2025 | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, shares of Common Stock were automatically reclassified as shares of Class A Common Stock on a one-for-one basis upon the filing of the Second Amended and Restated Certificate of Incorporation of the Issuer immediately prior to the closing of the Issuer's initial public offering ("IPO"). (F2) The Reporting Person is the trustee of the trust. |
| 7 | Common | Class A Common Stock | 2025-10-02 | J | D | 17,885,000 | — | 0 | I Held by the Trevor R. Burgess Irrevocable Trust of 2020, u/a/d March 24, 2025 | — | — | (F3) Shares of Class A Common Stock were exchanged with the Issuer for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and the Issuer. (F4) Jonathan W. Meyer and David J. Rectenwald are Co-Trustees of the trust and may be replaced at the discretion of the Reporting Person. By virtue of his relationship with the trust, the Reporting Person is deemed to have an indirect beneficial interest in the shares held by the trust. The Reporting Person disclaims beneficial ownership of the shares held by the trust. |
| 8 | Common | Class A Common Stock | 2025-10-02 | J | D | 511,000 | — | 0 | I Held by the Trevor R. Burgess Revocable Trust, u/a/d September 30, 2024 | — | — | (F3) Shares of Class A Common Stock were exchanged with the Issuer for shares of Class B Common Stock on a one-for-one basis pursuant to the Exchange Agreement between the Reporting Person and the Issuer. (F2) The Reporting Person is the trustee of the trust. |
| 9 | Common | Class A Common Stock | 2025-10-02 | A | A | 1,982,964 | $0.00 | 1,982,964 | D | — | — | (F5) Represents shares of Class A Common Stock underlying an award of time-based restricted stock units ("RSUs"). The RSUs will vest in equal annual installments over three years, beginning on September 30, 2026, subject to the continuous service of the Reporting Person through each vesting date. Each share of Class A Common Stock received upon the settlement of the RSU may be exchanged by the Reporting Person into one share of the Issuer's Class B Common Stock. |
| 10 | Common | Class A Common Stock | 2025-10-02 | J | A | 511,000 | — | 511,000 | I Held by the Trevor R. Burgess Revocable Trust, u/a/d September 30, 2024 | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7, shares of Common Stock were automatically reclassified as shares of Class A Common Stock on a one-for-one basis upon the filing of the Second Amended and Restated Certificate of Incorporation of the Issuer immediately prior to the closing of the Issuer's initial public offering ("IPO"). (F2) The Reporting Person is the trustee of the trust. |
| 11 | Derivative | Class B Common Stock | 2025-10-02 | J | A | 511,000 | — | 511,000 | I Held by the Trevor R. Burgess Revocable Trust, u/a/d September 30, 2024 | — · — to — | 511,000 Class A Common Stock | (F6) Each outstanding share of Class B Common Stock is convertible into one share of the Issuer's Class A common stock at any time, (i) at the option of the Reporting Person, (ii) automatically upon any transfer, whether or not for value (except for certain permitted transfers), or (iii) upon the occurrence of certain events or conditions, as described further in the Issuer's Second Amended and Restated Certificate of Incorporation. (F2) The Reporting Person is the trustee of the trust. |
| 12 | Derivative | Class B Common Stock | 2025-10-02 | J | A | 25,039,000 | — | 25,039,000 | I Held by Burgess Family SLAT, u/a/d March 26, 2025 | — · — to — | 25,039,000 Class A Common Stock | (F6) Each outstanding share of Class B Common Stock is convertible into one share of the Issuer's Class A common stock at any time, (i) at the option of the Reporting Person, (ii) automatically upon any transfer, whether or not for value (except for certain permitted transfers), or (iii) upon the occurrence of certain events or conditions, as described further in the Issuer's Second Amended and Restated Certificate of Incorporation. (F2) The Reporting Person is the trustee of the trust. |
| 13 | Derivative | Class B Common Stock | 2025-10-02 | J | A | 17,885,000 | — | 17,885,000 | I Held by the Trevor R. Burgess Irrevocable Trust of 2020, u/a/d March 24, 2025 | — · — to — | 17,885,000 Class A Common Stock | (F6) Each outstanding share of Class B Common Stock is convertible into one share of the Issuer's Class A common stock at any time, (i) at the option of the Reporting Person, (ii) automatically upon any transfer, whether or not for value (except for certain permitted transfers), or (iii) upon the occurrence of certain events or conditions, as described further in the Issuer's Second Amended and Restated Certificate of Incorporation. (F4) Jonathan W. Meyer and David J. Rectenwald are Co-Trustees of the trust and may be replaced at the discretion of the Reporting Person. By virtue of his relationship with the trust, the Reporting Person is deemed to have an indirect beneficial interest in the shares held by the trust. The Reporting Person disclaims beneficial ownership of the shares held by the trust. |
| 14 | Derivative | Stock Option (right to buy) | 2025-10-02 | J | A | 280,000 | $0.00 | 280,000 | D | $5.50 · — to 2035-03-08 | 280,000 Class A Common Stock | (F7) The stock option fully vested upon the closing of (and became exercisable in connection with) the IPO. Each share of Class A Common Stock received upon the exercise of the stock option may be exchanged by the Reporting Person into one share of the Issuer's Class B Common Stock. |
| 15 | Derivative | Stock Option (right to buy) | 2025-10-02 | J | D | 5,880,000 | $0.00 | 0 | D | $5.50 · — to 2033-11-09 | 5,880,000 Common Stock | (F7) The stock option fully vested upon the closing of (and became exercisable in connection with) the IPO. Each share of Class A Common Stock received upon the exercise of the stock option may be exchanged by the Reporting Person into one share of the Issuer's Class B Common Stock. |
| 16 | Derivative | Stock Option (right to buy) | 2025-10-02 | J | A | 5,880,000 | $0.00 | 5,880,000 | D | $5.50 · — to 2033-11-09 | 5,880,000 Class A Common Stock | (F7) The stock option fully vested upon the closing of (and became exercisable in connection with) the IPO. Each share of Class A Common Stock received upon the exercise of the stock option may be exchanged by the Reporting Person into one share of the Issuer's Class B Common Stock. |
| 17 | Derivative | Stock Option (right to buy) | 2025-10-02 | J | D | 280,000 | $0.00 | 0 | D | $5.50 · — to 2035-03-08 | 280,000 Common Stock | (F7) The stock option fully vested upon the closing of (and became exercisable in connection with) the IPO. Each share of Class A Common Stock received upon the exercise of the stock option may be exchanged by the Reporting Person into one share of the Issuer's Class B Common Stock. |