Form Type: 4

SEC EDGAR Link
Accession Number:0001578735-20-000021
Date:2020-02-26
Issuer: NATIONAL GENERAL HOLDINGS CORP. (NGHC)
Original Submission Date:

Reporting Person:

KARFUNKEL ROBERT
C/O NGHC
59 MAIDEN LANE, 38TH FLOOR NEW YORK, NY 10038

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, $.01 PAR VALUE 2020-02-26 M 17,584 a $0.00 125,980 direct
COMMON STOCK, $.01 PAR VALUE 2020-02-26 F 6,669 d $0.00 119,311 direct
COMMON STOCK, $.01 PAR VALUE 2020-02-26 M 33,138 a $0.00 152,449 direct
COMMON STOCK, $.01 PAR VALUE 2020-02-26 F 13,241 d $0.00 139,208 direct
COMMON STOCK, $.01 PAR VALUE 2020-02-28 M 16,085 a $0.00 155,293 direct
COMMON STOCK, $.01 PAR VALUE 2020-02-28 F 8,534 d $0.00 146,759 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2020-02-26 deemed execution date M 17,584 (d) common stock, $.01 par value 17,584 $0.00 17,584 direct
RESTRICTED STOCK UNITS 0.0 2020-02-26 deemed execution date M 33,138 (d) common stock, $.01 par value 33,138 $0.00 66,276 direct
RESTRICTED STOCK UNITS 0.0 2020-02-28 deemed execution date M 16,085 (d) common stock, $.01 par value 16,085 $0.00 0 direct
Footnotes
IDfootnote
f1 acquisition of common stock resulting from vesting of one-third of the restricted stock units granted to mr. karfunkel on february 26, 2018.
f2 disposition of common stock resulting from the withholding of securities for the payment of tax liability relating to the vesting of one-third of the restricted stock units granted to mr. karfunkel on february 26, 2018.
f3 acquisition of common stock resulting from vesting of one-third of the restricted stock units granted to mr. karfunkel on february 26, 2019.
f4 disposition of common stock resulting from the withholding of securities for the payment of tax liability relating to the vesting of one-third of the restricted stock units granted to mr. karfunkel on february 26, 2019.
f5 acquisition of common stock resulting from vesting of one-third of the restricted stock units granted to mr. karfunkel on february 28, 2017.
f6 disposition of common stock resulting from the withholding of securities for the payment of tax liability relating to the vesting of one-third of the restricted stock units granted to mr. karfunkel on february 28, 2017.
f7 each restricted stock unit represents a contingent right to receive one share of national general holdings corp.'s common stock.
f8 on february 26, 2018, mr. karfunkel received restricted stock units representing 52,752 shares subject to a three-year vesting schedule, vesting 33 1/3% on the first, second and third anniversaries of the grant date. as restricted stock units vest, the vested units are automatically converted to vested common stock on a one-for-one basis on the vesting date.
f9 on february 26, 2019, mr. karfunkel received restricted stock units representing 99,414 shares subject to a three-year vesting schedule, vesting 33 1/3% on the first, second and third anniversaries of the grant date. as restricted stock units vest, the vested units are automatically converted to vested common stock on a one-for-one basis on the vesting date.
f10 on february 28, 2017, mr. karfunkel received restricted stock units representing 48,253 shares subject to a three-year vesting schedule, vesting 33 1/3% on the first, second and third anniversaries of the grant date. as restricted stock units vest, the vested units are automatically converted to vested common stock on a one-for-one basis on the vesting date.
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