Statement of Changes in Beneficial Ownership (4)
November 12 2020 - 10:08AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
Lawson Ann Kuchera |
2. Issuer Name and Ticker or Trading Symbol
NICOLET BANKSHARES INC
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NCBS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O NICOLET NATIONAL BANK, 111 NORTH WASHINGTON STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/10/2020 |
(Street)
GREEN BAY, WI 54301
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/10/2020 | | M | | 1000 | A | $37.18 | 29983 | D | |
Common Stock | 11/10/2020 | | F | | 307 | D | $67.95 | 29676 | D | |
Common Stock | 11/10/2020 | | M | | 1200 | A | $37.18 | 30876 | D | |
Common Stock | 11/10/2020 | | S | | 1200 | D | $67.68 | 29676 (1) | D | |
Common Stock | | | | | | | | 800 | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Stock Option (Right to Buy) | $37.18 | 11/10/2020 | | M | | | 1000 | (2) | 9/20/2026 | Common Stock | 1000 | $0 | 6000 | D | |
Stock Option (Right to Buy) | $37.18 | 11/10/2020 | | M | | | 1200 | (2) | 9/20/2026 | Common Stock | 1200 | $0 | 4800 | D | |
Explanation of Responses: |
(1) | Includes 11 shares acquired under the Employee Stock Purchase Plan since the reporting person's last Form 4 filing on August 5, 2020. The reporting person owns 111 shares total in the Employee Stock Purchase Plan. |
(2) | The nonqualified options are currently exercisable to 2,800 shares. The nonqualified options vest in five annual installments of 2,000 shares annually on September 20 of each year, beginning on September 20, 2017 and fully vest on September 20, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lawson Ann Kuchera C/O NICOLET NATIONAL BANK 111 NORTH WASHINGTON STREET GREEN BAY, WI 54301 |
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| Chief Financial Officer |
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Signatures
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/s/ Ann K. Lawson | | 11/12/2020 |
**Signature of Reporting Person | Date |
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