SEC Form 4 · accession 0000927089-15-000268
QUAINT OAK BANCORP, INC. · QNTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Augustine
Officer — Chief Financial Officer · Director
Period of report
May 8, 2015
Accepted (ET)
May 12, 2015 · 11:57 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001391933
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | May 8, 2015 | F | 179 | $20.33 | D | 5,593 | D | |
| Common StockF3 | holding | — | — | — | 940 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 11,100 | I | By IRA | |
| Common Stock | holding | — | — | — | 1,500 | I | By Spouse | |
| Common StockF4 | holding | — | — | — | 4,921 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F5 | $16.20 | holding | — | — | — | — | May 8, 2023 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (Right to Buy)F6 | $10.00 | holding | — | — | — | May 14, 2013 | May 14, 2018 | Common Stock | 6,943 | 6,943 | D |
Explanation of responses
- F1Disposition solely to meet tax obligation for distributions from stock benefit plans.
- F2Includes 1,597 shares held in the 2008 Recognition and Retention Plan Trust which reflect the unvested portion of a grant amount originally covering 2,659 shares that commenced vesting at a rate of 20% per year on May 8, 2014 and 505 shares granted prusuant to the 2013 Stock Incentive Plan which reflect the unvested portion of a grant amount originally covering 841 shares that commenced vesting at a rate of 20% per year on May 8, 2014.
- F3Includes shares acquired in the Issuer's 401(k) Plan since the last filed Form 4. Based on a report dated May 8, 2015.
- F4Includes 495.1368 shares allocated to the reporting person's ESOP account since the last filed Form 4.
- F5The options are vesting at a rate of 20% per year commencing on May 8, 2014.
- F6The options vested at a rate of 20% per year commencing on May 14, 2009.