NMI Holdings, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-02: Reporting owner Norberg Julie; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-02: Reporting owner Norberg Julie; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-02: Reporting owner Norberg Julie; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-08-15: Reporting owner Norberg Julie; Form 3; Security Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-11-02 | Norberg Julie Officer (Vice President, Controller) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,600 0 owned after | $12.32 exercise price | $16.50 | 2017-11-06 |
| 2017-11-02 | Norberg Julie Officer (Vice President, Controller) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $11.75 exercise price | $16.50 | 2017-11-06 |
| 2017-11-02 | Norberg Julie Officer (Vice President, Controller) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 0 owned after | $10.00 exercise price | $16.50 | 2017-11-06 |
| 2017-08-15 holding as of filing | Norberg Julie Officer (Vice President, Controller) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2017-08-15 | ||
| 2017-08-15 holding as of filing | Norberg Julie Officer (Vice President, Controller) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $11.75 exercise price | 2017-08-15 | ||
| 2017-08-15 holding as of filing | Norberg Julie Officer (Vice President, Controller) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $12.32 exercise price | 2017-08-15 | ||
| 2017-05-10 | Pollitzer Adam Officer (EVP, Chief Financial Officer) | 4/A | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,893 68,893 owned after | $10.80 exercise price | $10.80 | 2017-06-06 |
| 2017-05-10 | Pollitzer Adam Officer (EVP, Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,148 23,148 owned after | $10.80 exercise price | $10.80 | 2017-05-12 |
| 2017-02-09 | Leatherberry William J Officer (EVP, General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,127 50,127 owned after | $11.10 exercise price | $11.10 | 2017-02-10 |
| 2017-02-09 | Mathis Patrick L Officer (EVP, Chief Risk Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,127 50,127 owned after | $11.10 exercise price | $11.10 | 2017-02-10 |
| 2017-02-09 | Merkle Claudia J Officer (EVP, Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,791 73,791 owned after | $11.10 exercise price | $11.10 | 2017-02-10 |
| 2017-02-09 | SHUSTER BRADLEY M Director, Officer (CEO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +330,788 330,788 owned after | $11.10 exercise price | $11.10 | 2017-02-10 |
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