Filing Details
- Accession Number:
- 0001000045-10-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-07-14 13:00:00
- Reporting Period:
- 2010-04-14
- Filing Date:
- 2010-07-14
- Accepted Time:
- 2010-07-14 16:46:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1000045 | Nicholas Financial Inc | NICK | Short-Term Business Credit Institutions (6153) | 593019317 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1265079 | L Peter Vosotas | 2454 Mcmullen Booth Road Bldg C Suite 501B Clearwater FL 33759 | President & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2010-04-14 | 10,000 | $8.50 | 364,176 | 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 |
|---|---|---|---|
| Common Stock | 39,747 | Indirect | By Spouse |
| Common Stock | 1,320,185 | Indirect | By Vosotas Family Trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | $2.35 | 2019-04-01 | 27,500 | 27,500 | Direct | |
| Common Stock | Stock Option (right to buy) | $2.38 | 2019-03-31 | 55,000 | 55,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-04-01 | 27,500 | 27,500 | Direct |
| 2019-03-31 | 55,000 | 55,000 | Direct |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 8, 2009.
- Reflects 10% stock dividend completed on December 7, 2009.
- The option vests in two equal annual installments beginning on April 1, 2010.
- The option vests in two equal annual installments beginning on March 31, 2010.
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