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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |||
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Gooden Emily 7800 EAST ORCHARD ROAD SUITE 300 GREENWOOD VILLAGE, CO 80111 |
CHIEF ACCOUNTING OFFICER | |||
| /s/ Emily Gooden | 09/20/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Total includes 702 shares of unvested restricted stock granted under the NBHC 2014 Omnibus Incentive Plan, which are scheduled to vest on April 28, 2025 and April 28, 2026. Total also includes 706 shares of unvested restricted stock granted under the NBHC 2023 Omnibus Incentive Plan, which are scheduled to vest as follows: (i) 235 will vest on April 28, 2025; (ii) 235 will vest on April 28, 2026; and (iii) 236 will vest on April 28, 2027. Vesting of shares under all restricted stock awards is contingent upon continued employment. |