Statement of Changes in Beneficial Ownership (4)
March 25 2021 - 7:08PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Karas Kevin R |
2. Issuer Name and Ticker or Trading Symbol
NATIONAL RESEARCH CORP
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NRC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP Finance, CFO, Treas & Secy |
(Last)
(First)
(Middle)
C/O NATIONAL RESEARCH CORPORATION, 1245 Q STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/24/2018 |
(Street)
LINCOLN, NE 68508
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/24/2018 | | S | | 3700 | D | $38.2286 (1) | 10684 | D | |
Common Stock | 9/24/2018 | | S | | 300 | D | $39.0583 (2) | 10384 | D | |
Common Stock | 3/23/2021 | | M | | 5334 | A | $18.80 | 15718 | D | |
Common Stock | 3/23/2021 | | M | | 19313 | A | $13.17 | 35031 | D | |
Common Stock | 3/23/2021 | | F | | 12735 | D | $45.55 | 22296 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $18.80 | 3/23/2021 | | M | | | 5334 | (3) | 1/7/2024 | Common Stock | 5334 | $0 | 0 | D | |
Employee Stock Option (Right to Buy) | $13.17 | 3/23/2021 | | M | | | 19313 | (4) | 1/6/2025 | Common Stock | 19313 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The price in Column 4 is a weighted average. The prices actually ranged from $38.00 to $38.70, inclusive. The reporting person has provided the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the ranges set forth in footnotes (1) and (2) of this Form 4. |
(2) | The price in Column 4 is a weighted average price. The prices actually ranged from $39.025 to $39.075, inclusive. |
(3) | This option became fully exercisable on January 7, 2019. |
(4) | This option became fully exercisable on January 6, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Karas Kevin R C/O NATIONAL RESEARCH CORPORATION 1245 Q STREET LINCOLN, NE 68508 |
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| SVP Finance, CFO, Treas & Secy |
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Signatures
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/s/ Kevin R. Karas, by Christopher Kortum, attorney-in-fact, pursuant to a POA previously filed with the SEC | | 3/25/2021 |
**Signature of Reporting Person | Date |
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