Filing Details

Accession Number:
0001140361-13-027024
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-02 12:54:50
Reporting Period:
2013-06-28
Filing Date:
2013-07-02
Accepted Time:
2013-07-02 12:54:50
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
70487 National Research Corp NRCIA/B Services-Commercial Physical & Biological Research (8731) 470634000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1053133 D. Michael Hays C/O National Research Corporation
1245 &Quot;Q&Quot; Street
Lincoln NE 68508
Ceo Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Disposition 2013-06-28 13,153 $18.00 5,823,147 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 375,750 Indirect By Spouse
Class A Common Stock 75 Indirect By Spouse & Daughter Jt
Class B Common Stock 1,806,050 Direct
Class B Common Stock 62,625 Indirect By Spouse
Class B Common Stock 12 Indirect By Spouse & Daughter Jt
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Employee Stock Option (right to buy) $4.81 2014-01-05 54,894 54,894 Direct
Class A Common Stock Employee Stock Option (right to buy) $5.12 2016-01-05 33,234 33,234 Direct
Class A Common Stock Employee Stock Option (right to buy) $6.62 2017-01-05 25,068 25,068 Direct
Class A Common Stock Employee Stock Option (right to buy) $7.59 2018-01-04 21,633 21,633 Direct
Class A Common Stock Employee Stock Option (right to buy) $8.12 2019-01-05 20,109 20,109 Direct
Class A Common Stock Employee Stock Option (right to buy) $6.29 2020-01-05 26,481 26,481 Direct
Class A Common Stock Employee Stock Option (right to buy) $9.14 2021-01-05 17,745 17,745 Direct
Class A Common Stock Employee Stock Option (right to buy) $10.75 2022-01-05 14,949 14,949 Direct
Class A Common Stock Employee Stock Option (right to buy) $14.50 2023-01-07 10,938 10,938 Direct
Class B Common Stock Employee Stock Option (right to buy) $12.60 2014-01-05 9,149 9,149 Direct
Class B Common Stock Employee Stock Option (right to buy) $13.06 2016-01-05 5,539 5,539 Direct
Class B Common Stock Employee Stock Option (right to buy) $15.31 2017-01-05 4,178 4,178 Direct
Class B Common Stock Employee Stock Option (right to buy) $16.76 2018-01-04 3,605 3,605 Direct
Class B Common Stock Employee Stock Option (right to buy) $17.57 2019-01-05 3,351 3,351 Direct
Class B Common Stock Employee Stock Option (right to buy) $14.82 2020-01-05 4,413 4,413 Direct
Class B Common Stock Employee Stock Option (right to buy) $19.09 2021-01-05 2,957 2,957 Direct
Class B Common Stock Employee Stock Option (right to buy) $21.50 2022-01-05 2,491 2,491 Direct
Class B Common Stock Employee Stock Option (right to buy) $27.13 2023-01-07 1,823 1,823 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-01-05 54,894 54,894 Direct
2016-01-05 33,234 33,234 Direct
2017-01-05 25,068 25,068 Direct
2018-01-04 21,633 21,633 Direct
2019-01-05 20,109 20,109 Direct
2020-01-05 26,481 26,481 Direct
2021-01-05 17,745 17,745 Direct
2022-01-05 14,949 14,949 Direct
2023-01-07 10,938 10,938 Direct
2014-01-05 9,149 9,149 Direct
2016-01-05 5,539 5,539 Direct
2017-01-05 4,178 4,178 Direct
2018-01-04 3,605 3,605 Direct
2019-01-05 3,351 3,351 Direct
2020-01-05 4,413 4,413 Direct
2021-01-05 2,957 2,957 Direct
2022-01-05 2,491 2,491 Direct
2023-01-07 1,823 1,823 Direct
Footnotes
  1. Does not include 375,000 shares of class A common stock currently held in a certain GRAT agreement, all or a portion of which will be returned to Mr. Hays over the next two years.
  2. Does not include 375,000 shares of class A common stock currently held in a certain GRAT agreement, all or a portion of which will be returned to Mr. Hays' spouse over the next two years.
  3. The reporting person disclaims beneficial ownership of these shares.
  4. Does not include 62,500 shares of class B common stock currently held in a certain GRAT agreement, all or a portion of which will be returned to Mr. Hays over the next two years.
  5. Does not include 62,500 shares of class b common stock currently held in a certain GRAT agreement, all or a portion of which will be returned to Mr. Hays' spouse over the next two years.
  6. On May 22, 2013, the Issuer completed a recapitalization pursuant to which it, among other things, issued a stock dividend of three shares of class A common stock for each share of then-existing common stock and reclassified each share of its then-existing common stock as one-half of one share of class B common stock. All fractional shares of class B common stock were cashed-out in the recapitalization. In connection with the recapitalization, the exercise prices of outstanding options were equitably adjusted to prevent the dilution or enlargement of the benefits intended to be provided.
  7. This option became fully exercisable on January 5, 2009.
  8. This option became fully exercisable on January 5, 2011.
  9. This option became fully exercisable on January 5, 2012.
  10. This option became fully exercisable on January 4, 2013.
  11. This option becomes fully exercisable on January 5, 2014.
  12. This option becomes fully exercisable on January 5, 2015.
  13. This option becomes fully exercisable on January 5, 2016.
  14. This option becomes fully exercisable on January 5, 2017.
  15. This option becomes fully exercisable on January 7, 2018.