SEC Form 4 · accession 0000892712-16-001582
FIRST BUSINESS FINANCIAL SERVICES, INC. · FBIZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Ropella
Officer — SR VP and CFO
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 6:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001521951
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 1, 2016 | D | 8,890 | — | D | 32,924 | D | |
| Common Stock | holding | — | — | — | 20,600 | I | By IRA | |
| Common Stock | holding | — | — | — | 510 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Apr 1, 2016 | A | 8,890 | A | — | — | Common Stock | 8,890 | 8,890 | D |
Explanation of responses
- F1Mr. Ropella entered into a Restricted Stock Unit Agreement with First Business Financial Services, Inc. (the "Company") as of April 1, 2016 pursuant to the Company's 2012 Equity Incentive Plan whereby the Company granted to Mr. Ropella 8,890 Restricted Stock Units in exchange for the simultaneous cancellation of his Restricted Stock Agreements and the cancellation of the 8,890 restricted shares issued thereunder that had not yet vested.