SEC Form 4 · accession 0001613665-17-000082
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, 2017
Accepted (ET)
Oct 23, 2017 · 5:20 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, 2017 | M | 1,621 | $0.00 | A | 17,583 | D | |
| Common Stock, par value $0.01 per shareF1 | Oct 23, 2017 | S | 447 | $41.4032 | D | 17,136 | 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, 2017 | M | 1,621 | D | — | — | Common Stock, par value $0.01 per share | 1,621 | 0 | D |
| Restricted Stock Units - 2015F2,F4 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 1,950 | 1,950 | D |
| Restricted Stock Units (2016 STI)F2,F5 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 1,004 | 1,004 | D |
| Restricted Stock Units - 2016F2,F6 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 2,346 | 2,346 | 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 2, 2017. The restricted stock units have no expiration date.
- F6The restricted stock units vest in three annual equal installments beginning on December 2, 2017. The restricted stock units have no expiration date.