SEC Form 4 · accession 0001046203-18-000014
GUARANTY FEDERAL BANCSHARES INC · GFED
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Sivils III
Director
Period of report
Nov 29, 2018
Accepted (ET)
Nov 30, 2018 · 1:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001046203
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Nov 29, 2018 | M | 2,500 | $5.30 | A | 2,500 | D | |
| COMMON STOCK | Nov 29, 2018 | M | 2,500 | $5.08 | A | 2,500 | D | |
| COMMON STOCK | holding | — | — | — | 2,888 | I | Restricted | |
| COMMON STOCK | holding | — | — | — | 6,103 | I | SEP Self | |
| COMMON STOCK | holding | — | — | — | 10,837 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option Right to Buy | $5.30 | Nov 29, 2018 | M | 2,500 | D | Jan 2, 2010 | Jan 2, 2019 | COMMON STOCK | 0 | 0 | D |
| Option Right to Buy | $5.08 | Nov 29, 2018 | M | 2,500 | D | Jan 4, 2011 | Jan 4, 2020 | COMMON STOCK | 0 | 0 | D |