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NATIONAL RESEARCH CORP — Director's Dealing 2016
Sep 29, 2016
33341_dirs_2016-09-29_71238331-0875-4002-8dc9-24b043bcc8f3.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NATIONAL RESEARCH CORP (NRCIA/B)
CIK: 0000070487
Period of Report: 2016-09-27
Reporting Person: Hays Michael D. (Director, CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-09-27 | Class A Common Stock | S | 3675 | $16.00 | Disposed | 6450844 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 138970 | Indirect |
| Class A Common Stock | 75 | Indirect |
| Class B Common Stock | 1973205 | Direct |
| Class B Common Stock | 125 | Indirect |
| Class B Common Stock | 12 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $6.62 | 2017-01-05 | Class A Common Stock (25068) | 25068 | Direct |
| Employee Stock Option (right to buy) | $7.59 | 2018-01-04 | Class A Common Stock (21633) | 21633 | Direct |
| Employee Stock Option (right to buy) | $8.12 | 2019-01-05 | Class A Common Stock (20109) | 20109 | Direct |
| Employee Stock Option (right to buy) | $6.29 | 2020-01-05 | Class A Common Stock (26481) | 26481 | Direct |
| Employee Stock Option (right to buy) | $9.14 | 2021-01-05 | Class A Common Stock (17745) | 17745 | Direct |
| Employee Stock Option (right to buy) | $10.75 | 2022-01-05 | Class A Common Stock (14949) | 14949 | Direct |
| Employee Stock Option (right to buy) | $14.50 | 2023-01-07 | Class A Common Stock (10938) | 10938 | Direct |
| Employee Stock Option (right to buy) | $18.80 | 2024-01-07 | Class A Common Stock (2904) | 2904 | Direct |
| Employee Stock Option (right to buy) | $13.17 | 2025-01-06 | Class A Common Stock (10014) | 10014 | Direct |
| Employee Stock Option (right to buy) | $15.23 | 2026-01-05 | Class A Common Stock (9145) | 9145 | Direct |
| Employee Stock Option (right to buy) | $21.5 | 2022-01-05 | Class B Common Stock (2491) | 2491 | Direct |
| Employee Stock Option (right to buy) | $27.13 | 2023-01-07 | Class B Common Stock (1823) | 1823 | Direct |
| Employee Stock Option (right to buy) | $34.15 | 2024-01-07 | Class B Common Stock (266) | 266 | Direct |
| Employee Stock Option (right to buy) | $35.48 | 2025-01-06 | Class B Common Stock (1669) | 1669 | Direct |
| Employee Stock Option (right to buy) | $34 | 2026-01-05 | Class B Common Stock (1524) | 1524 | Direct |
Footnotes
F1: The reporting person disclaims beneficial ownership of these shares.
F2: This option became fully exercisable on January 5, 2012.
F3: This option became fully exercisable on January 4, 2013.
F4: This option became fully exercisable on January 5, 2014.
F5: This option became fully exercisable on January 5, 2015.
F6: This option became fully exercisable on January 5, 2016.
F7: This option becomes fully exercisable on January 5, 2017.
F8: This option becomes fully exercisable on January 7, 2018.
F9: This option becomes fully exercisable on January 7, 2019.
F10: This option becomes fully exercisable on January 6, 2020.
F11: This option becomes fully exercisable on January 5, 2021.