SEC Form 4 · accession 0001613665-17-000100
Great Western Bancorp, Inc. · GWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Robert Chapman
Officer — EVP and CFO
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 5:27 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 | Dec 2, 2017 | M | 1,077 | $0.00 | A | 17,696 | D | |
| Common Stock, par value $0.01 per share | Dec 2, 2017 | M | 2,151 | $0.00 | A | 19,847 | D | |
| Common Stock, par value $0.01 per share | Dec 4, 2017 | M | 1,272 | $0.00 | A | 21,119 | D | |
| Common Stock, par value $0.01 per shareF1 | Dec 4, 2017 | F | 1,890 | $41.49 | D | 19,229 | 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 - 2017F2,F3 | — | Dec 1, 2017 | A | 3,104 | A | — | — | Common Stock, par value $0.01 per share | 3,104 | 3,104 | D |
| Restricted Stock Units (2017 STI)F2,F4 | — | Dec 1, 2017 | A | 2,104 | A | — | — | Common Stock, par value $0.01 per share | 2,104 | 2,104 | D |
| Restricted Stock Units - 2016F2,F5 | — | Dec 2, 2017 | M | 1,077 | D | — | — | Common Stock, par value $0.01 per share | 1,077 | 2,157 | D |
| Restricted Stock Units (2016 STI)F2,F6 | — | Dec 2, 2017 | M | 2,151 | D | — | — | Common Stock, par value $0.01 per share | 2,151 | 0 | D |
| Restricted Stock Units - 2015F2,F7 | — | Dec 4, 2017 | M | 1,272 | D | — | — | Common Stock, par value $0.01 per share | 1,272 | 1,273 | D |
Explanation of responses
- F1The units representing these shares were surrendered to satisfy tax withholding 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 equal installments beginning on December 1, 2018. The restricted stock units have no expiration date.
- F4The restricted stock units vest on December 1, 2018. 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 restricted stock units vest in three annual equal installments beginning on December 4, 2016. The restricted stock units have no expiration date.