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NATIONAL RESEARCH CORP — Director's Dealing 2017
Jan 10, 2017
33341_dirs_2017-01-10_c317a8d7-d690-45ab-9e10-ab888d363f0e.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: 2017-01-06
Reporting Person: Hays Michael D. (Director, CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-01-06 | Class A Common Stock | S | 762 | $19.6342 | Disposed | 5769670 | Direct |
| 2017-01-09 | Class A Common Stock | S | 1665 | $19.3362 | Disposed | 5768005 | Direct |
| 2017-01-10 | Class A Common Stock | S | 3055 | $19.0869 | Disposed | 5764950 | 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) | $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) | $18.8 | 2027-01-04 | Class A Common Stock (7478) | 7478 | 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 |
| Employee Stock Option (right to buy) | $40.54 | 2027-01-04 | Class B Common Stock (1246) | 1246 | Direct |
Footnotes
F1: The price in Column 4 is a weighted average price. The prices actually received ranged from $19.60 to $19.75. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
F2: The price in Column 4 is a weighted average price. The prices actually received ranged from $19.25 to $19.45. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
F3: The price in Column 4 is a weighted average price. The prices actually received ranged from $19.00 to $19.175. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
F4: The reporting person disclaims beneficial ownership of these shares.
F5: This option became fully exercisable on January 4, 2013.
F6: This option became fully exercisable on January 5, 2014.
F7: This option became fully exercisable on January 5, 2015.
F8: This option became fully exercisable on January 5, 2016.
F9: This option became fully exercisable on January 5, 2017.
F10: This option becomes fully exercisable on January 7, 2018.
F11: This option becomes fully exercisable on January 7, 2019.
F12: This option becomes fully exercisable on January 6, 2020.
F13: This option becomes fully exercisable on January 5, 2021.
F14: This option becomes fully exercisable on January 4, 2022.