SEC Form 4 · accession 0001613665-18-000112
Great Western Bancorp, Inc. · GWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth James Karels
Officer — President and CEO
Period of report
Nov 30, 2018
Accepted (ET)
Dec 4, 2018 · 5:29 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 shareF1 | Dec 2, 2018 | M | 3,867 | $0.00 | A | 29,240 | D | |
| Common Stock, par value $0.01 per shareF2 | Dec 2, 2018 | M | 6,816 | $0.00 | A | 36,056 | D | |
| Common Stock, par value $0.01 per shareF3 | Dec 1, 2018 | M | 3,713 | $0.00 | A | 39,769 | D | |
| Common Stock, par value $0.01 per shareF4 | Dec 1, 2018 | M | 6,147 | $0.00 | A | 45,916 | D | |
| Common Stock, par value $0.01 per shareF5 | Dec 3, 2018 | F | 6,258 | $37.08 | D | 39,658 | D | |
| Common Stock, par value $0.01 per share | holding | — | — | — | 43,300 | I | Spouse |
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 - 2016F6,F1 | — | Dec 2, 2018 | M | 3,867 | D | — | — | Common Stock, par value $0.01 per share | 3,867 | 3,869 | D |
| Restricted Stock Units (2016 STI)F6,F2 | — | Dec 2, 2018 | M | 6,816 | D | — | — | Common Stock, par value $0.01 per share | 6,816 | 0 | D |
| Restricted Stock Units - 2017F6,F3 | — | Dec 1, 2018 | M | 3,713 | D | — | — | Common Stock, par value $0.01 per share | 3,713 | 7,427 | D |
| Restricted Stock Units (2017 STI)F6,F4 | — | Dec 1, 2018 | M | 6,147 | D | — | — | Common Stock, par value $0.01 per share | 6,147 | 6,147 | D |
| Restricted Stock Units - 2018F6,F8 | — | Nov 30, 2018 | A | 13,451 | A | — | — | Common Stock, par value $0.01 per share | 13,451 | 13,451 | D |
| Restricted Stock Units (2018 STI)F6,F9 | — | Nov 30, 2018 | A | 14,468 | A | — | — | Common Stock, par value $0.01 per share | 14,468 | 14,468 | D |
| Restricted Stock Units - 2015F6,F7 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 3,791 | 3,791 | D |
Explanation of responses
- F1The restricted stock units vest in three annual equal installments beginning on December 2, 2017. The restricted stock units have no expiration date.
- F2The restricted stock units vest in two annual equal installments beginning on December 2, 2017. The restricted stock units have no expiration date.
- 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 in two annual equal installments beginning on December 1, 2018. The restricted stock units have no expiration date.
- F5The units representing these shares were surrendered to satisfy tax withholding obligations on the vesting of restricted stock unit awards.
- F6Each 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.
- F7The restricted stock units vest in three annual equal installments beginning on December 4, 2016. The restricted stock units have no expiration date.
- F8The restricted stock units vest in three annual installments beginning on November 30, 2019. The restricted stock units have no expiration date.
- F9The restricted stock units vest in two annual equal installments beginning on November 30, 2019. The restricted stock units have no expiration date.