SEC Form 4 · accession 0001087456-18-000011
UNITED BANCSHARES INC/OH · UBOH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel J Lucke
Officer — CFO
Period of report
Aug 1, 2018
Accepted (ET)
Aug 2, 2018 · 12:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001087456
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Aug 1, 2018 | P | 163 | $22.46 | A | 2,058 | I | ESOP |
| Common StockF1 | holding | — | — | — | 712 | I | Shares held jointly with spouse. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $19.32 | Nov 15, 2016 | A | 2,751 | A | — | Nov 15, 2026 | Common Stock | 2,751 | 2,751 | D |
| Stock Option (right to buy)F4 | $21.70 | Jul 26, 2017 | A | 2,347 | A | — | Jul 26, 2027 | Common Stock | 2,347 | 5,098 | D |
Explanation of responses
- F1Shares held jointly with spouse as Daniel J. Lucke and Rebecca M. Lucke TOD.
- F2Shares held in trust through the Corporation's Employee Stock Ownership Plan ("ESOP") for the reporting person.
- F3The options vest over three years, at a rate of 33.33% per year (33.34% in the final year), beginning on November 15, 2017.
- F4The options vest over three years, at a rate of 33.33% per year (33.34% in the final year), beginning on July 26, 2018.