4//SEC Filing
Buckingham Robert D 4
Accession 0001209191-11-053576
CIK 0001399855other
Filed
Oct 31, 8:00 PM ET
Accepted
Nov 1, 3:28 PM ET
Size
17.2 KB
Accession
0001209191-11-053576
Insider Transaction Report
Form 4
Buckingham Robert D
Director10% Owner
Transactions
- Sale
Common Stock
2011-10-28$7.69/sh−150,648$1,158,483→ 10,638,908 total(indirect: By Partnership) - Exercise of In-Money
Common Stock Purchase Warrant (right to buy)
2011-10-28−210,632→ 66,484 total(indirect: By Partnership)Exercise: $5.50From: 2009-11-23Exp: 2011-11-22→ Common Stock (210,632 underlying) - Exercise of In-Money
Common Stock
2011-10-31$5.50/sh+28,854$158,697→ 10,667,762 total(indirect: By Partnership) - Exercise of In-Money
Common Stock
2011-10-28$5.50/sh+210,632$1,158,476→ 10,789,556 total(indirect: By Partnership) - Exercise of In-Money
Common Stock Purchase Warrant (right to buy)
2011-10-31−28,854→ 37,630 total(indirect: By Partnership)Exercise: $5.50From: 2009-11-23Exp: 2011-11-22→ Common Stock (28,854 underlying) - Sale
Common Stock
2011-10-31$7.68/sh−20,664$158,700→ 10,647,098 total(indirect: By Partnership)
Holdings
- 3,457,864(indirect: By Trust)
Common Stock
Footnotes (3)
- [F1]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 purposes of Section 16 or for any other purpose.
- [F2]On October 28, 2011, H. & E. Buckingham Limited Partnership (the "Partnership") exercised warrants to purchase 210,632 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 150,648 of the warrant shares to pay the exercise price and issuing to the Partnership the remaining 59,984 shares. The Issuer also paid $7.12 to the Partnership in lieu of a fractional share.
- [F3]On October 31, 2011, H. & E. Buckingham Limited Partnership (the "Partnership") exercised warrants to purchase 28,854 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 20,664 of the warrant shares to pay the exercise price and issuing to the Partnership the remaining 8,190 shares. The Issuer also paid $2.52 to the Partnership in lieu of a fractional share.
Documents
Issuer
National American University Holdings, Inc.
CIK 0001399855
Entity typeother
Related Parties
1- filerCIK 0001477781
Filing Metadata
- Form type
- 4
- Filed
- Oct 31, 8:00 PM ET
- Accepted
- Nov 1, 3:28 PM ET
- Size
- 17.2 KB