SEC Form 4 · accession 0001140361-15-009727
Simplicity Bancorp, Inc. · SMPL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeanne R Thompson
Officer — Chief Admin. Officer
Period of report
Mar 1, 2015
Accepted (ET)
Mar 2, 2015 · 5:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001412109
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 1, 2015 | D | 18,295 | — | D | 0 | D | |
| Common StockF1 | Mar 1, 2015 | D | 11,910 | — | D | 0 | I | By 401(k) |
| Common StockF1 | Mar 1, 2015 | D | 19,289 | — | D | 0 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $10.8424 | Mar 1, 2015 | D | 10,791 | D | Jan 30, 2010 | Jan 30, 2019 | Common Stock | 10,791 | 0 | D |
Explanation of responses
- F1Each share of common stock of the Issuer was converted into and became exchangeable for the right to receive one share of HomeStreet, Inc.
- F2Stock options have been cancelled and each option holder will receive a cash payment upon such cancellation in an amount equal to the product of (i) the number of shares of Issuer common stock provided for by such option and (ii) the excess, if any, of $17.53 over the exercise price of the option.