SEC Form 4 · accession 0001613665-17-000056
Great Western Bancorp, Inc. · GWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Oct 2, 2017
Accepted (ET)
Oct 3, 2017 · 6:05 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 shareF1 | Oct 2, 2017 | A | 3,917 | $0.00 | A | 4,217 | D | |
| Common Stock, par value $0.01 per share | Oct 3, 2017 | S | 1,304 | $40.2112 | D | 2,913 | D | |
| Common Stock, par value $0.01 per share | holding | — | — | — | 645 | I | IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock Units - IPOF2,F7 | — | Oct 2, 2017 | A | 7,017 | A | — | — | Common Stock, par value $0.01 per share | 7,017 | 7,017 | D |
| Restricted Stock Units - 2014F2,F3 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 928 | 928 | D |
| Restricted Stock Units - 2015F2,F4 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 1,138 | 1,138 | D |
| Restricted Stock Units - 2016F2,F5 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 1,395 | 1,395 | D |
| Restricted Stock Units (2016 STI)F2,F6 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 377 | 377 | D |
Explanation of responses
- F1The vesting and issuance of performance stock units granted in October 2014 and based on the achievement of pre-established performance objectives over a three year period ended September 30, 2017.
- 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 in three annual equal installments beginning on December 2, 2017. The restricted stock units have no expiration date.
- F6The restricted stock units vest on December 2, 2017. The restricted stock units have no expiration date.
- F7The issuance of performance stock granted in conjunction with the initial public offering in October 2014 and based on the achievement of pre-established performance objectives over a three-year performance period ended September 30, 2017 and subject to vesting on August 18, 2018.