SEC Form 4 · accession 0001613665-17-000106
Great Western Bancorp, Inc. · GWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Dec 2, 2017
Accepted (ET)
Dec 5, 2017 · 5:42 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 | 377 | $0.00 | A | 1,302 | D | |
| Common Stock, par value $0.01 per share | Dec 2, 2017 | M | 464 | $0.00 | A | 1,766 | D | |
| Common Stock, par value $0.01 per share | Dec 4, 2017 | M | 568 | $0.00 | A | 2,334 | D | |
| Common Stock, par value $0.01 per shareF1 | Dec 4, 2017 | F | 458 | $41.49 | D | 1,876 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (2016 STI)F2,F3 | — | Dec 2, 2017 | M | 377 | D | — | — | Common Stock, par value $0.01 per share | 377 | 0 | D |
| Restricted Stock Units - 2016F2,F3 | — | Dec 2, 2017 | M | 464 | D | — | — | Common Stock, par value $0.01 per share | 464 | 931 | D |
| Restricted Stock Units - 2015F2,F4 | — | Dec 4, 2017 | M | 568 | D | — | — | Common Stock, par value $0.01 per share | 568 | 570 | D |
| Performance Stock Units - IPOF2,F5 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 7,017 | 7,017 | 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 on December 2, 2017. 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 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.