HUME DANIEL exercised options at NATIONAL HOLDINGS CORP
Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.
M · 3 exercises
Filed: 2/14/2020ACC: 0001437749-20-002833
0.00
Net shares
Net seller
$0.00
Total acquired
0
Open market trades
0B · 0S
6
Total transactions
33.66K acquired · 33.66K disposed
Non-Derivative Transactions3
Common Stock
Direct
Shares
+25K
Price / share
—
Trade value
—
% of position
87.7%
2/12/2020
28.50K→53.49K
Common Stock
Direct
Shares
+3.50K
Price / share
—
Trade value
—
% of position
6.5%
2/12/2020
53.49K→56.99K
Common Stock
Direct
Shares
+5.16K
Price / share
—
Trade value
—
% of position
9.1%
2/13/2020
56.99K→62.15K
Total
Net shares
+33.66K
Net value
$0.00
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 2/12/2020 | M · Option Exercise | +25K | — | — | 87.7% | 28.50K | 53.49K |
| Common Stock Direct | 2/12/2020 | M · Option Exercise | +3.50K | — | — | 6.5% | 53.49K | 56.99K |
| Common Stock Direct | 2/13/2020 | M · Option Exercise | +5.16K | — | — | 9.1% | 56.99K | 62.15K |
| Total | +33.66K | $0.00 | ||||||
Derivative Transactions3
Restricted Stock Units
Direct
Converts to
Common Stock
25K shares
Shares
−25K
Strike price
Held after
22.58K
Exercisable
—
2/12/2020
Restricted Stock Units
Direct
Converts to
Common Stock
3.50K shares
Shares
−3.50K
Strike price
Held after
19.08K
Exercisable
—
2/12/2020
Restricted Stock Units
Direct
Converts to
Common Stock
5.16K shares
Shares
−5.16K
Strike price
Held after
13.92K
Exercisable
—
2/13/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Restricted Stock Units Direct | Common Stock25K shares | 2/12/2020 | M · Option Exercise | −25K | — | 22.58K | |
| Restricted Stock Units Direct | Common Stock3.50K shares | 2/12/2020 | M · Option Exercise | −3.50K | — | 19.08K | |
| Restricted Stock Units Direct | Common Stock5.16K shares | 2/13/2020 | M · Option Exercise | −5.16K | — | 13.92K |