FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NELNET INC [ NNI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/04/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 01/04/2010 | S(1)(2) | 100 | D | $17.19 | 637,895 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 100 | D | $17.2 | 637,795 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 700 | D | $17.27 | 637,095 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 450 | D | $17.28 | 636,645 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 600 | D | $17.29 | 636,045 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 528.5 | D | $17.3 | 635,516.5 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 500 | D | $17.31 | 635,016.5 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 150 | D | $17.32 | 634,866.5 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 571.5 | D | $17.33 | 634,295 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 193.5 | D | $17.34 | 634,101.5 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 50 | D | $17.35 | 634,051.5 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 306.5 | D | $17.36 | 633,745 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 250 | D | $17.37 | 633,495 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 400 | D | $17.38 | 633,095 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 600 | D | $17.39 | 632,495 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 300 | D | $17.4 | 632,195 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 200 | D | $17.41 | 631,995 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 200 | D | $17.42 | 631,795 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 150 | D | $17.43 | 631,645 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 100 | D | $17.44 | 631,545 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 100 | D | $17.45 | 631,445 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 850 | D | $17.47 | 630,595 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 650 | D | $17.48 | 629,945 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 100 | D | $17.49 | 629,845 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 50 | D | $17.51 | 629,795 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(1)(2) | 50 | D | $17.52 | 629,745 | I | By daughter | ||
Class A Common Stock | 01/04/2010 | S(2)(3) | 100 | D | $17.19 | 637,895 | I | By son | ||
Class A Common Stock | 01/04/2010 | S(2)(3) | 100 | D | $17.2 | 637,795 | I | By son | ||
Class A Common Stock | 01/04/2010 | S(2)(3) | 700 | D | $17.27 | 637,095 | I | By son |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. The shares were sold by the reporting person as custodian for Alicia Muhleisen under the Nebraska Uniform Transfers to Minors Act pursuant to a Rule 10b5-1 Sales Plan (the "A.M. Plan") entered into on September 15, 2009, which provides for the sale of shares of the issuer's Class A Common Stock, subject to limit price provisions and an expiration date of December 15, 2010. To the extent any future sales occur pursuant to the A.M. Plan, such sales will be publicly disclosed in Form 4 filings with the Securities and Exchange Commission. |
2. Rule 10b5-1, promulgated under the Securities Exchange Act of 1934, allows significant shareholders of a company who are not in possession of material non-public information to establish pre-arranged plans to buy or sell a specified number of shares of such company's stock. Once a plan is established, the shareholder does not retain or exercise any discretion over sales of stock under the plan and the pre-planned trades may be executed at later dates as set forth in the plan. |
3. These shares were sold by the reporting person as custodian for Jason Muhleisen under the Nebraska Uniform Transfers to Minors Act pursuant to a Rule 10b5-1 Sales Plan (the "J.M. Plan") entered into on September 15, 2009, which provides for the sale of shares of the issuer's Class A Common Stock, subject to limit price provisions and an expiration date of December 15, 2010. To the extent any future sales occur pursuant to the J.M. Plan, such sales will be publicly disclosed in Form 4 filings with the Securities and Exchange Commission. |
Remarks: |
This is the first of two Forms 4 that are being filed for Angela L. Muhleisen for transactions made on January 4, 2010. |
/s/ Angie R. Miller, Attorney-in-Fact for Angela L. Muhleisen | 01/06/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |