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NATIONAL RESEARCH CORP — Director's Dealing 2017
Jan 5, 2017
33341_dirs_2017-01-05_13095b17-5069-4de1-87db-29609b105551.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: 2017-01-03
Reporting Person: Hays Michael D. (Director, CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-30 | Class A Common Stock | G | 246700 | — | Disposed | 5759756 | Direct |
| 2017-01-03 | Class A Common Stock | M | 25068 | $6.62 | Acquired | 5784824 | Direct |
| 2017-01-03 | Class A Common Stock | F | 14392 | $18.80 | Disposed | 5770432 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-01-03 | Employee Stock Option (right to buy) | $6.62 | M | 25068 | Disposed | 2017-01-05 | Class A Common Stock (25068) | Direct |
| 2017-01-04 | Employee Stock Option (right to buy) | $18.80 | A | 7478 | Acquired | 2027-01-04 | Class A Common Stock (7478) | Direct |
| 2017-01-04 | Employee Stock Option (right to buy) | $40.54 | A | 1246 | Acquired | 2027-01-04 | Class B Common Stock (1246) | 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) | $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 became 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.
F12: This option becomes fully exercisable on January 4, 2022.