HUME DANIEL exercised options at NATIONAL HOLDINGS CORP
Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.
M · 2 exercises
Filed: 3/6/2019ACC: 0001437749-19-004252
+60.59K
Net shares
Net buyer
$0.00
Total acquired
0
Open market trades
0B · 0S
6
Total transactions
89.09K acquired · 28.50K disposed
Non-Derivative Transactions2
Common Stock
Direct
Shares
+25K
Price / share
—
Trade value
—
% of position
New position
2/12/2019
0.00→25K
Common Stock
Direct
Shares
+3.50K
Price / share
—
Trade value
—
% of position
14.0%
2/12/2019
25K→28.50K
Total
Net shares
+28.50K
Net value
$0.00
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 2/12/2019 | M · Option Exercise | +25K | — | — | New position | 0.00 | 25K |
| Common Stock Direct | 2/12/2019 | M · Option Exercise | +3.50K | — | — | 14.0% | 25K | 28.50K |
| Total | +28.50K | $0.00 | ||||||
Derivative Transactions4
Restricted Stock Units
Direct
Converts to
Common Stock
50K shares
Shares
+50K
Strike price
Held after
50K
Exercisable
—
2/12/2018
Restricted Stock Units
Direct
Converts to
Common Stock
10.59K shares
Shares
+10.59K
Strike price
Held after
60.59K
Exercisable
—
2/12/2018
Restricted Stock Units
Direct
Converts to
Common Stock
25K shares
Shares
−25K
Strike price
Held after
35.59K
Exercisable
—
2/12/2019
Restricted Stock Units
Direct
Converts to
Common Stock
3.50K shares
Shares
−3.50K
Strike price
Held after
32.10K
Exercisable
—
2/12/2019
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Restricted Stock Units Direct | Common Stock50K shares | 2/12/2018 | A · Award | +50K | — | 50K | |
| Restricted Stock Units Direct | Common Stock10.59K shares | 2/12/2018 | A · Award | +10.59K | — | 60.59K | |
| Restricted Stock Units Direct | Common Stock25K shares | 2/12/2019 | M · Option Exercise | −25K | — | 35.59K | |
| Restricted Stock Units Direct | Common Stock3.50K shares | 2/12/2019 | M · Option Exercise | −3.50K | — | 32.10K |