Statement of Changes in Beneficial Ownership (4)
15 Novembro 2021 - 8:20PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Newfield Richard U Jr. |
2. Issuer Name and Ticker or Trading Symbol
National Bank Holdings Corp
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NBHC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Risk Mngmt Officer |
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(Last)
(First)
(Middle)
7800 EAST ORCHARD ROAD, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/11/2021 |
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(Street)
GREENWOOD VILLAGE, CO 80111
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 11/11/2021 | | M | | 9780 | A | $18.09 | 132692 (1) | D | |
| Common Stock | 11/11/2021 | | M | | 7200 | A | $18.92 | 139892 | D | |
| Common Stock | 11/11/2021 | | M | | 3020 | A | $19.08 | 142912 | D | |
| Common Stock | 11/11/2021 | | S | | 20000 | D | $45.8984 (2) | 122912 | D | |
| Common Stock | 11/12/2021 | | M | | 4900 | A | $19.08 | 127812 | D | |
| Common Stock | 11/12/2021 | | S | | 4900 | D | $45.4091 (3) | 122912 | D | |
| Common Stock | 11/15/2021 | | M | | 399 | A | $19.08 | 123311 | D | |
| Common Stock | 11/15/2021 | | M | | 13092 | A | $19.56 | 136403 | D | |
| Common Stock | 11/15/2021 | | S | | 13491 | D | $45.2331 (4) | 122912 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (Right to Buy) | $18.09 | 11/11/2021 | | M | | | 9780 | (5) | 5/2/2023 | Common Stock | 9780 | $0 | 0 | D | |
| Employee Stock Option (Right to Buy) | $18.92 | 11/11/2021 | | M | | | 7200 | (6) | 4/29/2024 | Common Stock | 7200 | $0 | 0 | D | |
| Employee Stock Option (Right to Buy) | $19.08 | 11/11/2021 | | M | | | 3020 | (7) | 4/28/2025 | Common Stock | 3020 | $0 | 5299 | D | |
| Employee Stock Option (Right to Buy) | $19.08 | 11/12/2021 | | M | | | 4900 | (7) | 4/28/2025 | Common Stock | 4900 | $0 | 399 | D | |
| Employee Stock Option (Right to Buy) | $19.08 | 11/15/2021 | | M | | | 399 | (7) | 4/28/2025 | Common Stock | 399 | $0 | 0 | D | |
| Employee Stock Option (Right to Buy) | $19.56 | 11/15/2021 | | M | | | 13092 | (8) | 3/1/2026 | Common Stock | 13092 | $0 | 0 | D | |
| Explanation of Responses: |
| (1) | Includes 442 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on August 31, 2021. |
| (2) | 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. |
| (3) | 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. |
| (4) | 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. |
| (5) | Time-vested stock option award. Stock options vested in equal installments on May 2, 2016 and May 2, 2017. |
| (6) | Time-vested stock option award. Stock options vested in equal installments on April 29, 2015, April 29, 2016 and April 29, 2017. |
| (7) | Time-vested stock option award. Stock options vested in equal installments on April 28, 2016, April 28, 2017 and April 28, 2018. |
| (8) | Time-vested stock option award. Stock options vested in equal installments on April 28, 2017, April 28, 2018 and April 28, 2019. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Newfield Richard U Jr.
7800 EAST ORCHARD ROAD, SUITE 300
GREENWOOD VILLAGE, CO 80111 |
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| Chief Risk Mngmt Officer |
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Signatures
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| /s/ Richard U. Newfield, Jr. | | 11/15/2021 |
| **Signature of Reporting Person | Date |
National Bank (NYSE:NBHC)
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