Shuster Bradley M's Form 4 filing
NMI Holdings, Inc. (NMIH) · filed Dec 26, 2023
- Accession no.
- 0001547903-23-000146
- Filed
- Dec 26, 2023
- Trade date
- Dec 21-22, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $6.20M. It was filed 5 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 |
|---|---|
| Shuster Bradley MCIK 0001052831 | Director, Officer (Executive Chairman) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 21, 2023 | Class A Common Shares, $0.01 par value per share | MOption exerciseAcquired | +115,072 | $12.32 | +$1,417,687.04 | 542,035 | Direct | |
| Dec 21, 2023 | Class A Common Shares, $0.01 par value per share | SSaleDisposed | −115,072 | $29.71F2 | −$3,418,789.12 | 426,963 | Direct | |
| Dec 21, 2023 | Class A Common Shares, $0.01 par value per share | MOption exerciseAcquired | +21,578 | $8.50 | +$183,413 | 448,541 | Direct | |
| Dec 21, 2023 | Class A Common Shares, $0.01 par value per share | SSaleDisposed | −21,578 | $30.00F3 | −$647,340 | 426,963 | Direct | |
| Dec 22, 2023 | Class A Common Shares, $0.01 par value per share | MOption exerciseAcquired | +70,804 | $8.50 | +$601,834 | 497,767 | Direct | |
| Dec 22, 2023 | Class A Common Shares, $0.01 par value per share | SSaleDisposed | −70,804 | $30.08F4 | −$2,129,784.32 | 426,963 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 21, 2023 | Class A Common Shares, $0.01 par value per share | MOption exerciseDisposed | −115,072 | $0.00 | $0 | 0 | Direct | |
| Dec 21, 2023 | Class A Common Shares, $0.01 par value per share | MOption exerciseDisposed | −21,578 | $0.00 | $0 | 242,222 | Direct | |
| Dec 22, 2023 | Class A Common Shares, $0.01 par value per share | MOption exerciseDisposed | −70,804 | $0.00 | $0 | 171,418 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The common stock was sold by the reporting person in a series of open market transactions on the transaction date at an average sale price of $29.7149. The range of sale prices was $29.2550 to $30.0000 on the transaction date. The reporting person undertakes to provide, upon request by SEC staff, NMIH, or a securityholder of NMIH, full information regarding the number of shares sold at each price.
Referenced by the price of 1 transaction in Table I.
- F3
The common stock was sold by the reporting person in a series of open market transactions on the transaction date at an average sale price of $30.000. The range of sales prices was $30.000 to $30.005 on the transaction date. The reporting person undertakes to provide, upon request by SEC staff, NMIH, or a securityholder of NMIH, full information regarding the number of shares sold at each price.
Referenced by the price of 1 transaction in Table I.
- F4
The common stock was sold by the reporting person in a series of open market transactions at an average sale price of $30.0839. The range of sale prices on the transaction date was $30.0000 to $30.2600. The reporting person undertakes to provide, upon request by the SEC staff, NMIH or a security holder of NMIH, full information regarding the shares sold at each price.
Referenced by the price of 1 transaction in Table I.