Newfield Richard U Jr.'s Form 4 filing
National Bank Holdings Corp (NBHC) · filed Nov 15, 2021
- Accession no.
- 0001179110-21-010125
- Filed
- Nov 15, 2021
- Trade date
- Nov 11-15, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 6 derivative transactions. Open-market sales total $1.75M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Newfield Richard U Jr.CIK 0001558035 | Officer (Chief Risk Mngmt Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +9,780 | $18.09 | +$176,920.2 | 132,692 | Direct | |
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +7,200 | $18.92 | +$136,224 | 139,892 | Direct | |
| Nov 11, 2021 | Common Stock | MOption exerciseAcquired | +3,020 | $19.08 | +$57,621.6 | 142,912 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −20,000 | $45.90 | −$918,000 | 122,912 | Direct | |
| Nov 12, 2021 | Common Stock | MOption exerciseAcquired | +4,900 | $19.08 | +$93,492 | 127,812 | Direct | |
| Nov 12, 2021 | Common Stock | SSaleDisposed | −4,900 | $45.41 | −$222,509 | 122,912 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseAcquired | +399 | $19.08 | +$7,612.92 | 123,311 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseAcquired | +13,092 | $19.56 | +$256,079.52 | 136,403 | Direct | |
| Nov 15, 2021 | Common Stock | SSaleDisposed | −13,491 | $45.23 | −$610,197.93 | 122,912 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2021 | Common Stock | MOption exerciseDisposed | −9,780 | $0.00 | $0 | 0 | Direct | |
| Nov 11, 2021 | Common Stock | MOption exerciseDisposed | −7,200 | $0.00 | $0 | 0 | Direct | |
| Nov 11, 2021 | Common Stock | MOption exerciseDisposed | −3,020 | $0.00 | $0 | 5,299 | Direct | |
| Nov 12, 2021 | Common Stock | MOption exerciseDisposed | −4,900 | $0.00 | $0 | 399 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseDisposed | −399 | $0.00 | $0 | 0 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseDisposed | −13,092 | $0.00 | $0 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.