SEC Form 4 · accession 0001613665-16-000156
Great Western Bancorp, Inc. · GWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen John Ulenberg
Officer — EVP and Chief Risk Officer
Period of report
Jan 29, 2016
Accepted (ET)
Jan 29, 2016 · 3:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001613665
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per share | Jan 29, 2016 | P | 2,000 | $25.50 | A | 5,720 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (2015 STI)F1,F2 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 864 | 864 | D |
| Restricted Stock Units - 2015F1,F3 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 2,924 | 2,924 | D |
| Restricted Stock Units - 2014F1,F4 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 3,241 | 3,241 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the common stock, par value $0.01 per share, of Great Western Bancorp, Inc.
- F2The restricted stock units vest on December 4, 2016. The restricted stock units have no expiration date.
- F3The restricted stock units vest in three annual equal installments beginning on December 4, 2016. The restricted stock units have no expiration date.
- F4The restricted stock units vest in three annual equal installments beginning on October 20, 2015. The restricted stock units have no expiration date.