0001179110-21-010125.txt : 20211115 0001179110-21-010125.hdr.sgml : 20211115 20211115181923 ACCESSION NUMBER: 0001179110-21-010125 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211111 FILED AS OF DATE: 20211115 DATE AS OF CHANGE: 20211115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Newfield Richard U Jr. CENTRAL INDEX KEY: 0001558035 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35654 FILM NUMBER: 211413157 MAIL ADDRESS: STREET 1: 5570 DTC PARKWAY CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: National Bank Holdings Corp CENTRAL INDEX KEY: 0001475841 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 270563799 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7800 EAST ORCHARD ROAD STREET 2: SUITE 300 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 BUSINESS PHONE: 303-892-8715 MAIL ADDRESS: STREET 1: 7800 EAST ORCHARD ROAD STREET 2: SUITE 300 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111 FORMER COMPANY: FORMER CONFORMED NAME: NBH Holdings Corp. DATE OF NAME CHANGE: 20091030 4 1 edgar.xml FORM 4 - X0306 4 2021-11-11 0 0001475841 National Bank Holdings Corp NBHC 0001558035 Newfield Richard U Jr. 7800 EAST ORCHARD ROAD, SUITE 300 GREENWOOD VILLAGE CO 80111 0 1 0 0 Chief Risk Mngmt Officer Common Stock 2021-11-11 4 M 0 9780 18.09 A 132692 D Common Stock 2021-11-11 4 M 0 7200 18.92 A 139892 D Common Stock 2021-11-11 4 M 0 3020 19.08 A 142912 D Common Stock 2021-11-11 4 S 0 20000 45.8984 D 122912 D Common Stock 2021-11-12 4 M 0 4900 19.08 A 127812 D Common Stock 2021-11-12 4 S 0 4900 45.4091 D 122912 D Common Stock 2021-11-15 4 M 0 399 19.08 A 123311 D Common Stock 2021-11-15 4 M 0 13092 19.56 A 136403 D Common Stock 2021-11-15 4 S 0 13491 45.2331 D 122912 D Employee Stock Option (Right to Buy) 18.09 2021-11-11 4 M 0 9780 0 D 2023-05-02 Common Stock 9780 0 D Employee Stock Option (Right to Buy) 18.92 2021-11-11 4 M 0 7200 0 D 2024-04-29 Common Stock 7200 0 D Employee Stock Option (Right to Buy) 19.08 2021-11-11 4 M 0 3020 0 D 2025-04-28 Common Stock 3020 5299 D Employee Stock Option (Right to Buy) 19.08 2021-11-12 4 M 0 4900 0 D 2025-04-28 Common Stock 4900 399 D Employee Stock Option (Right to Buy) 19.08 2021-11-15 4 M 0 399 0 D 2025-04-28 Common Stock 399 0 D Employee Stock Option (Right to Buy) 19.56 2021-11-15 4 M 0 13092 0 D 2026-03-01 Common Stock 13092 0 D Includes 442 shares acquired under the National Bank Holdings Corporation Employee Stock Purchase Plan on August 31, 2021. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.50 to $46.22, inclusive. The reporting person undertakes to provide to NBHC, any security holder of NBHC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.40 to $45.45, inclusive. The reporting person undertakes to provide to NBHC, any security holder of NBHC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.42, inclusive. The reporting person undertakes to provide to NBHC, any security holder of NBHC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. Time-vested stock option award. Stock options vested in equal installments on May 2, 2016 and May 2, 2017. Time-vested stock option award. Stock options vested in equal installments on April 29, 2015, April 29, 2016 and April 29, 2017. Time-vested stock option award. Stock options vested in equal installments on April 28, 2016, April 28, 2017 and April 28, 2018. Time-vested stock option award. Stock options vested in equal installments on April 28, 2017, April 28, 2018 and April 28, 2019. /s/ Richard U. Newfield, Jr. 2021-11-15