NMI Holdings, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-10: Reporting owner Leatherberry William J; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-12-09: Reporting owner SHUSTER BRADLEY M; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-11-30: Reporting owner SHUSTER BRADLEY M; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-11-24: Reporting owner Pollitzer Adam; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-12-10 | Leatherberry William J Officer (EVP, General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,434 9,718 owned after | $16.00 exercise price | $24.47 | 2020-12-11 |
| 2020-12-09 | SHUSTER BRADLEY M Director, Officer (Executive Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,628 60,077 owned after | $11.75 exercise price | $24.37 | 2020-12-11 |
| 2020-11-30 | SHUSTER BRADLEY M Director, Officer (Executive Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,628 115,072 owned after | $12.32 exercise price | $21.91 | 2020-12-02 |
| 2020-11-24 | Pollitzer Adam Officer (EVP, Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,965 0 owned after | $10.80 exercise price | $23.45 | 2020-11-27 |
| 2020-11-19 | EMBLER MICHAEL J Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,813 0 owned after | $10.00 exercise price | $22.87 | 2020-11-20 |
| 2020-11-16 | SHUSTER BRADLEY M Director, Officer (Executive Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,628 96,705 owned after | $11.75 exercise price | $23.55 | 2020-11-18 |
| 2020-11-16 | Merkle Claudia J Director, Officer (CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −73,791 0 owned after | $11.10 exercise price | $23.55 | 2020-11-18 |
| 2020-11-10 | OZANNE JAMES Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,625 0 owned after | $10.00 exercise price | $23.49 | 2020-11-12 |
| 2020-11-09 | Leatherberry William J Officer (EVP, General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 14,209 owned after | $11.10 exercise price | $22.97 | 2020-11-12 |
| 2020-11-09 | Leatherberry William J Officer (EVP, General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,209 0 owned after | $11.10 exercise price | $22.97 | 2020-11-12 |
| 2020-02-12 | SCHEID STEVEN Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,325 0 owned after | $10.00 exercise price | $31.00 | 2020-02-14 |
| 2020-01-03 | SHUSTER BRADLEY M Director, Officer (Executive Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,625 0 owned after | $10.00 exercise price | $32.35 | 2020-01-06 |
| 2020-01-02 | SHUSTER BRADLEY M Director, Officer (Executive Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,625 25,625 owned after | $10.00 exercise price | $32.27 | 2020-01-06 |
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