SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/01/2017 | 3. Issuer Name and Ticker or Trading Symbol National Bank Holdings Corp [ NBHC ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 7,265(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (2) | 05/02/2019 | Common Stock | 10,000 | 20 | D | |
Employee Stock Option (Right to Buy) | (3) | 05/02/2023 | Common Stock | 3,260 | 18.09 | D | |
Employee Stock Option (Right to Buy) | (4) | 04/29/2024 | Common Stock | 2,400 | 18.92 | D | |
Employee Stock Option (Right to Buy) | (5) | 04/28/2025 | Common Stock | 2,773 | 19.08 | D | |
Employee Stock Option (Right to Buy) | (6) | 03/01/2026 | Common Stock | 3,080 | 19.56 | D |
Explanation of Responses: |
1. Total includes 4,731 shares of unvested restricted stock granted under either the NBHC 2009 Equity Incentive Plan or 2014 Omnibus Incentive Plan. Vesting of said shares is contingent upon continued employment, and is scheduled as follows: (i) 1,256 will vest on April 28, 2017; (ii) 800 will vest on April 29, 2017; (iii) 543 will vest on May 2, 2017; (iv) 1,257 will vest on April 28, 2018; (v) 543 will vest on May 2, 2018; and (vi) 332 will vest on April 28, 2019. |
2. Granted under the NBHC 2009 Equity Incentive Plan. Stock option vested in two installments: (i) 3,332 stock options vested on May 2, 2014, and (ii) 6,668 stock options vested on May 2, 2015. |
3. Granted under the NBHC 2009 Equity Incentive Plan. Stock option award is subject to continued employment, is time vesting, and vests in two equal annual installments, the first of which occurred on May 2, 2016. |
4. Granted under the NBHC 2009 Equity Incentive Plan. Stock option award is subject to continued employment, is time vesting, and vests in three equal annual installments, the first of which occurred on April 29, 2015. |
5. Granted under the NBHC 2014 Omnibus Incentive Plan. Stock option award is subject to continued employment, is time vesting, and vests in three equal annual installments, the first of which occurred on April 28, 2016. |
6. Granted under the NBHC 2014 Omnibus Incentive Plan. Stock option award is subject to continued employment, is time vesting, and vests in three equal annual installments, the first of which occurs on April 28, 2017. |
/s/ Patrick G. Sobers | 01/09/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |