SEC Form 4 · accession 0001613665-16-000257
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
Oct 20, 2016
Accepted (ET)
Oct 24, 2016 · 6:18 pm EDT
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 | Oct 20, 2016 | M | 1,620 | $0.00 | A | 7,340 | D | |
| Common Stock, par value $0.01 per shareF1 | Oct 21, 2016 | S | 446 | $33.02 | D | 6,894 | 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 - 2014F2,F3 | — | Oct 20, 2016 | M | 1,620 | D | — | — | Common Stock, par value $0.01 per share | 1,620 | 1,621 | D |
| Restricted Stock Units - 2015F2,F4 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 2,924 | 2,924 | D |
| Restricted Stock Units (2015 STI)F2,F5 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 864 | 864 | D |
Explanation of responses
- F1These shares were sold pursuant to a plan of disposition adopted in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 to satisfy tax obligations on the vesting of restricted stock unit awards.
- F2Each 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.
- F3The restricted stock units vest in three annual equal installments beginning on October 20, 2015. The restricted stock units have no expiration date.
- F4The restricted stock units vest in three annual equal installments beginning on December 4, 2016. The restricted stock units have no expiration date.
- F5The restricted stock units vest on December 4, 2016. The restricted stock units have no expiration date.