0001437749-18-021971.txt : 20181213 0001437749-18-021971.hdr.sgml : 20181213 20181213162226 ACCESSION NUMBER: 0001437749-18-021971 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180404 FILED AS OF DATE: 20181213 DATE AS OF CHANGE: 20181213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BUTTERFIELD STEPHEN F CENTRAL INDEX KEY: 0001269793 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31924 FILM NUMBER: 181233451 MAIL ADDRESS: STREET 1: 121 SOUTH 13TH STREET STREET 2: SUITE 100 CITY: LINCOLN STATE: NE ZIP: 68508 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NELNET INC CENTRAL INDEX KEY: 0001258602 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] IRS NUMBER: 840748903 STATE OF INCORPORATION: NE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 121 SOUTH 13TH ST STREET 2: STE 201 CITY: LINCOLN STATE: NE ZIP: 68508 BUSINESS PHONE: 402-458-2370 MAIL ADDRESS: STREET 1: 121 SOUTH 13TH ST STREET 2: STE 201 CITY: LINCOLN STATE: NE ZIP: 68508 4 1 rdgdoc.xml FORM 4 X0306 4 2018-04-04 1 0001258602 NELNET INC NNI 0001269793 BUTTERFIELD STEPHEN F 121 SOUTH 13TH STREET SUITE 100 LINCOLN NE 68508 1 1 Class B Common Stock 2018-04-04 5 G 0 16808 0 D 33617 I By trust Class B Common Stock 2018-04-04 5 G 0 16808 0 A 16808 I By adult son Class B Common Stock 2018-04-13 5 G 0 300 0 D 33317 I By trust Class B Common Stock 2018-04-13 5 G 0 100 0 A 100 I By adult son as UTMA custodian for granddaughter Class B Common Stock 2018-04-13 5 G 0 100 0 A 100 I By adult son as UTMA custodian for grandson Class B Common Stock 2018-04-13 5 G 0 100 0 A 100 I By adult son as UTMA custodian for grandson Class B Common Stock 2018-04-13 5 G 0 100 0 D 50325 I By trust Class B Common Stock 2018-04-13 5 G 0 100 0 A 100 I By adult son Class B Common Stock 2018-04-13 5 G 0 100 0 D 50325 I By trust Class B Common Stock 2018-04-13 5 G 0 100 0 A 100 I By adult son Class B Common Stock 2018-04-13 5 G 0 100 0 D 50325 I By trust Class B Common Stock 2018-04-13 5 G 0 100 0 A 100 I By spouse as UTMA custodian for daughter Class B Common Stock 2018-04-13 5 G 0 100 0 D 50325 I By trust Class B Common Stock 2018-04-13 5 G 0 100 0 A 100 I By spouse as UTMA custodian for son Class B Common Stock 881077 D Class B Common Stock 70586 I By spouse Class B Common Stock 76521 I By GRAT Class B Common Stock 88385 I By GRAT Class B Common Stock 82947 I By GRAT Class B Common Stock 95787 I By GRAT Class B Common Stock 82947 I By GRAT Class B Common Stock 95787 I By GRAT Class B Common Stock 99259 I By GRAT Class B Common Stock 76521 I By GRAT Class B Common Stock 88385 I By GRAT Class B Common Stock 92327 I By GRAT Class B Common Stock 94288 I By GRAT Class B Common Stock 100000 I By GRAT Class B Common Stock 1586691 I By corporation Class B Common Stock 61941 I By CLAT On April 4, 2018, a trust of which an adult son of the reporting person is the beneficiary distributed 16,808 shares to such adult son of the reporting person. Shares held by a trust, of which an adult son of the reporting person is the beneficiary. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. On April 13, 2018, a trust of which an adult son of the reporting person is the beneficiary distributed a total of 300 shares to such adult son as custodian under the Uniform Transfers to Minors Act for the granddaughter and two grandsons of the reporting person, in increments of 100 shares for each of the granddaughter and the two grandsons. On April 13, 2018, a trust of which another adult son of the reporting person is the beneficiary distributed 100 shares to such adult son of the reporting person. Shares held by a trust, of which another adult son of the reporting person is the beneficiary. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. On April 13, 2018, a trust of which another adult son of the reporting person is the beneficiary distributed 100 shares to such adult son of the reporting person. Shares held by a trust, of which another adult son of the reporting person is the beneficiary. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. On April 13, 2018, a trust of which the daughter of the reporting person is the beneficiary distributed 100 shares to the reporting person's spouse as custodian under the Uniform Transfers to Minors Act for such daughter of the reporting person. Shares held by a trust, of which the daughter of the reporting person is the beneficiary. On April 13, 2018, a trust of which another son of the reporting person is the beneficiary distributed 100 shares to the reporting person's spouse as custodian under the Uniform Transfers to Minors Act for such son of the reporting person. Shares held by a trust, of which another son of the reporting person is the beneficiary. Includes 135,332 shares held by the Stephen F. Butterfield Revocable Living Trust, the agreement for which was revocable by the reporting person while he was living. As noted in the Remarks below, the reporting person passed away on April 16, 2018. Shares held by a grantor retained annuity trust ("GRAT") dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by a separate GRAT dated December 18, 2015. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. Shares held by Union Financial Services, Inc. ("UFS"), of which the reporting person was a director and president and owned 50.0% of the outstanding capital stock. The reporting person reported beneficial ownership of all the shares held by UFS, but disclaimed beneficial ownership of the shares held by UFS except to the extent of his pecuniary interest therein. Shares held by a charitable lead annuity trust ("CLAT") established by the reporting person, of which CLAT the descendants of the reporting person are remainder beneficiaries. The reporting person reported beneficial ownership of all the shares held by the trust, but disclaimed beneficial ownership of the shares held by the trust except to the extent of his pecuniary interest therein. The reporting person passed away on April 16, 2018. /s/ Audra Hoffschneider, Attorney-in-Fact for Stephen F. Butterfield 2018-12-13