Filing Details

Accession Number:
0001000045-21-000011
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-16 15:07:19
Reporting Period:
2021-11-15
Accepted Time:
2021-11-16 15:07:19
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
1689627 Joseph Brendan Keating 8918 Spanish Ridge Avenue, Suite 100
Las Vegas NV 89148
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 Acquisiton 2021-11-15 4,000 $12.20 5,632 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.14 to $12.25, inclusive. The reportingperson undertakes to provide to Nicholas Financial Inc., any security holder of Nicholas Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.
  2. The reported shares are directly owned by Rosecrest Trust, of which Brendan J Keating is the Trustee. Mr. Keating could be deemed to have indirect beneficial ownership of the shares.