Richard U. Newfield Jr. - 11 Nov 2021 Form 4 Insider Report for National Bank Holdings Corp (NBHC)

Role
Chief Risk Mngmt Officer
Signature
/s/ Richard U. Newfield, Jr.
Issuer symbol
NBHC
Transactions as of
11 Nov 2021
Net transactions value
-$1,022,762
Form type
4
Filing time
15 Nov 2021, 17:19:23 UTC
Next filing
03 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NBHC Common Stock Options Exercise $176,920 +9,780 +8% $18.09 132,692 11 Nov 2021 Direct F1
transaction NBHC Common Stock Options Exercise $136,224 +7,200 +5.4% $18.92 139,892 11 Nov 2021 Direct
transaction NBHC Common Stock Options Exercise $57,622 +3,020 +2.2% $19.08 142,912 11 Nov 2021 Direct
transaction NBHC Common Stock Sale $917,968 -20,000 -14% $45.90 122,912 11 Nov 2021 Direct F2
transaction NBHC Common Stock Options Exercise $93,492 +4,900 +4% $19.08 127,812 12 Nov 2021 Direct
transaction NBHC Common Stock Sale $222,505 -4,900 -3.8% $45.41 122,912 12 Nov 2021 Direct F3
transaction NBHC Common Stock Options Exercise $7,613 +399 +0.32% $19.08 123,311 15 Nov 2021 Direct
transaction NBHC Common Stock Options Exercise $256,080 +13,092 +11% $19.56 136,403 15 Nov 2021 Direct
transaction NBHC Common Stock Sale $610,240 -13,491 -9.9% $45.23 122,912 15 Nov 2021 Direct F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NBHC Employee Stock Option (Right to Buy) Options Exercise $0 -9,780 -100% $0.000000* 0 11 Nov 2021 Common Stock 9,780 $18.09 Direct F5
transaction NBHC Employee Stock Option (Right to Buy) Options Exercise $0 -7,200 -100% $0.000000* 0 11 Nov 2021 Common Stock 7,200 $18.92 Direct F6
transaction NBHC Employee Stock Option (Right to Buy) Options Exercise $0 -3,020 -36% $0.000000 5,299 11 Nov 2021 Common Stock 3,020 $19.08 Direct F7
transaction NBHC Employee Stock Option (Right to Buy) Options Exercise $0 -4,900 -92% $0.000000 399 12 Nov 2021 Common Stock 4,900 $19.08 Direct F7
transaction NBHC Employee Stock Option (Right to Buy) Options Exercise $0 -399 -100% $0.000000* 0 15 Nov 2021 Common Stock 399 $19.08 Direct F7
transaction NBHC Employee Stock Option (Right to Buy) Options Exercise $0 -13,092 -100% $0.000000* 0 15 Nov 2021 Common Stock 13,092 $19.56 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 442 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on August 31, 2021.
F2 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.
F3 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.
F4 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.
F5 Time-vested stock option award. Stock options vested in equal installments on May 2, 2016 and May 2, 2017.
F6 Time-vested stock option award. Stock options vested in equal installments on April 29, 2015, April 29, 2016 and April 29, 2017.
F7 Time-vested stock option award. Stock options vested in equal installments on April 28, 2016, April 28, 2017 and April 28, 2018.
F8 Time-vested stock option award. Stock options vested in equal installments on April 28, 2017, April 28, 2018 and April 28, 2019.