Filing Details

Accession Number:
0001000045-13-000007
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-09-09 11:16:42
Reporting Period:
2013-08-26
Filing Date:
2013-09-09
Accepted Time:
2013-09-09 11:16:42
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1000045 Nicholas Financial Inc NICK Short-Term Business Credit Institutions (6153) 593019317
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1558270 Alton Neal 2454 Mcmullen Booth Road
Bldg C
Clearwater FL 33759
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-08-26 8,250 $4.20 25,850 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2013-08-26 8,250 $4.20 8,250 $4.20
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2013-08-25 No 4 C Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (right to buy) $11.44 2022-08-07 5,000 5,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-08-07 5,000 5,000 Direct
Footnotes
  1. This exercise price has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend. The exercise price and the number of shares have also been amended as a result of numerous stock splits and stock dividends.
  2. The option vests in three equal annual installments beginning on August 25, 2003.
  3. This amount has been reduced by $2.00 per the Equity Plan requirements as a result of the December 2012 special cash dividend.
  4. This option vests in three equal annual installments beginning on August 7, 2012.