Filing Details
- Accession Number:
- 0001547903-19-000155
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-13 17:47:15
- Reporting Period:
- 2019-12-11
- Accepted Time:
- 2019-12-13 17:47:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1547903 | Nmi Holdings Inc. | NMIH | Surety Insurance (6351) | 454914248 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1706001 | Adam Pollitzer | C/O Nmi Holdings, Inc. 2100 Powell St., 12Th Floor Emeryville CA 94608 | Evp, Chief Financial Officer | No | Yes | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Shares, $0.01 Par Value Per Share | Acquisiton | 2019-12-11 | 4,629 | $10.80 | 170,913 | No | 4 | M | Direct | |
| Class A Common Shares, $0.01 Par Value Per Share | Disposition | 2019-12-11 | 4,629 | $34.04 | 166,284 | No | 4 | S | Direct | |
| Class A Common Shares, $0.01 Par Value Per Share | Acquisiton | 2019-12-12 | 9,043 | $10.80 | 175,327 | No | 4 | M | Direct | |
| Class A Common Shares, $0.01 Par Value Per Share | Disposition | 2019-12-12 | 9,043 | $33.93 | 166,284 | No | 4 | S | Direct | |
| Class A Common Shares, $0.01 Par Value Per Share | Acquisiton | 2019-12-13 | 32,256 | $10.80 | 198,540 | No | 4 | M | Direct | |
| Class A Common Shares, $0.01 Par Value Per Share | Acquisiton | 2019-12-13 | 8,131 | $18.70 | 206,671 | No | 4 | M | Direct | |
| Class A Common Shares, $0.01 Par Value Per Share | Acquisiton | 2019-12-13 | 9,717 | $16.00 | 216,388 | No | 4 | M | Direct | |
| Class A Common Shares, $0.01 Par Value Per Share | Disposition | 2019-12-13 | 50,104 | $33.13 | 166,284 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Shares, $0.01 Par Value Per Share | Stock Option (right to buy) | Disposition | 2019-12-11 | 4,629 | $0.00 | 4,629 | $10.80 |
| Class A Common Shares, $0.01 Par Value Per Share | Stock Option (right to buy) | Disposition | 2019-12-12 | 9,043 | $0.00 | 9,043 | $10.80 |
| Class A Common Shares, $0.01 Par Value Per Share | Stock Option (right to buy) | Disposition | 2019-12-13 | 32,256 | $0.00 | 32,256 | $10.80 |
| Class A Common Shares, $0.01 Par Value Per Share | Stock Option (right to buy) | Disposition | 2019-12-13 | 8,131 | $0.00 | 8,131 | $18.70 |
| Class A Common Shares, $0.01 Par Value Per Share | Stock Option (right to buy) | Disposition | 2019-12-13 | 9,717 | $0.00 | 9,717 | $16.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 64,264 | 2027-05-10 | No | 4 | M | Direct | |
| 55,221 | 2027-05-10 | No | 4 | M | Direct | |
| 22,965 | 2027-05-10 | No | 4 | M | Direct | |
| 16,264 | 2028-02-07 | No | 4 | M | Direct | |
| 19,435 | 2028-03-15 | No | 4 | M | Direct |
Footnotes
- The common stock was sold by the reporting person in a series of open market transactions on the transaction date at a weighted average sale price of $34.0429. The range of sale prices was $34.002 to $34.14. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
- The common stock was sold by the reporting person in a series of open market transactions on the transaction date at a weighted average sale price of $33.9275. The range of sale prices was $33.75 to $34.17. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
- The common stock was sold by the reporting person in a series of open market transactions on the transaction date at a weighted average sale price of $33.1251. The range of sale prices was $32.88 to $33.44. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
- Represents 166,284 unvested restricted stock units.
- Granted pursuant to the NMIH 2012 Stock Incentive Plan. The option vests in three equal annual installments beginning on May 10, 2018.
- Granted pursuant to the NMIH 2012 Stock Incentive Plan. The option vests in three equal annual installments beginning on February 7, 2019.
- Granted pursuant to the NMIH 2012 Stock Incentive Plan. The option vests in three equal annual installments beginning on March 15, 2019.
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