Filing Details
- Accession Number:
- 0001127602-20-028914
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2020-11-13 13:01:28
- Reporting Period:
- 2020-11-10
- Accepted Time:
- 2020-11-13 13:01:28
- Original Submission Date:
- 2020-11-12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1174850 | Nicolet Bankshares Inc | NCBS | National Commercial Banks (6021) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1664666 | Kuchera Ann Lawson | C/O Nicolet National Bank 111 North Washington Street Green Bay WI 54301 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-11-10 | 1,000 | $37.18 | 29,983 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-10 | 693 | $67.95 | 29,290 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-11-10 | 1,200 | $37.18 | 30,490 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-10 | 1,200 | $67.68 | 29,290 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | 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 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-10 | 1,000 | $0.00 | 1,000 | $37.18 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-10 | 1,200 | $0.00 | 1,200 | $37.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,000 | 2026-09-20 | No | 4 | M | Direct | |
| 4,800 | 2026-09-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 800 | Indirect | By 401(k) Plan |
Footnotes
- This report on Form 4/A amends the Form 4 filed by the reporting person on November 12, 2020. This report on Form 4/A is being filed to correct the amount of shares forfeited at time of exercise of 1,000 nonqualified stock options on November 10, 2020.
- The reporting person has not acquired additional shares under the Employee Stock Purchase Plan since the reporting person's last Form 4 filing on November 12, 2020. The reporting person owns 111 shares total in the Employee Stock Purchase Plan which is included in the reporting persons direct beneficial ownership total.
- The nonqualified options are currently exercisable to 2,800 shares. The nonqualified options vest in five annual installments of 2,000 shares annually on September 20 of each year, beginning on September 20, 2017 and fully vest on September 20, 2021.
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