Filing Details
- Accession Number:
- 0001209191-11-036787
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-29 18:05:32
- Reporting Period:
- 2011-06-27
- Filing Date:
- 2011-06-29
- Accepted Time:
- 2011-06-29 18:05:32
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1399855 | National American University Holdings Inc. | NAUH | Services-Educational Services (8200) | 830479936 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1477781 | D Robert Buckingham | 5311 Carriage Hills Drive Rapid City SD 57702 | Yes | No | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2011-06-27 | 66,052 | $5.50 | 10,368,073 | No | 4 | X | Indirect | by H. & E. Buckingham Limited Partnership |
Common Stock | Disposition | 2011-06-27 | 42,243 | $8.60 | 10,325,830 | No | 4 | S | Indirect | by H. & E. Buckingham Limited Partnership |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | X | Indirect | by H. & E. Buckingham Limited Partnership |
No | 4 | S | Indirect | by H. & E. Buckingham Limited Partnership |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Purchase Warrant (right to buy) | Disposition | 2011-06-27 | 66,052 | $0.00 | 66,052 | $5.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
954,766 | 2009-11-23 | 2011-11-22 | No | 4 | X | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 3,457,864 | Indirect | by Robert D. Buckingham Living Trust |
Footnotes
- The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purpose of Section 16 or for any other purpose.
- On June 27, 2011, H. & E. Buckingham Limited Partnership ("Partnership") exercised warrants to purchase 66,052 shares of the Issuer's common stock for $5.50 a share. The Partnership paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 42,243 of the warrant shares to pay the exercise price and issuing to the Partnership the remaining 23,809 shares. The Issuer also paid $3.78 to the Partnership in lieu of a fractional share.