SEC Form 4 · accession 0001613665-18-000114
Great Western Bancorp, Inc. · GWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas Richard Bass
Officer — Regional President and EVP
Period of report
Nov 30, 2018
Accepted (ET)
Dec 4, 2018 · 5:31 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 | 655 | $0.00 | A | 17,613 | D | |
| Common Stock, par value $0.01 per shareF2 | Dec 1, 2018 | M | 628 | $0.00 | A | 18,241 | D | |
| Common Stock, par value $0.01 per shareF3 | Dec 1, 2018 | M | 1,013 | $0.00 | A | 19,254 | D | |
| Common Stock, par value $0.01 per shareF4 | Dec 3, 2018 | F | 699 | $37.08 | D | 18,555 | 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 - 2016F5,F1 | — | Dec 2, 2018 | M | 655 | D | — | — | Common Stock, par value $0.01 per share | 655 | 656 | D |
| Restricted Stock Units - 2017F5,F2 | — | Dec 1, 2018 | M | 628 | D | — | — | Common Stock, par value $0.01 per share | 628 | 1,259 | D |
| Restricted Stock Units (2017 STI)F5,F3 | — | Dec 1, 2018 | M | 1,013 | D | — | — | Common Stock, par value $0.01 per share | 1,013 | 0 | D |
| Restricted Stock Units - 2018F5,F7 | — | Nov 30, 2018 | A | 6,096 | A | — | — | Common Stock, par value $0.01 per share | 6,096 | 6,096 | D |
| Restricted Stock Units (2018 STI)F5,F8 | — | Nov 30, 2018 | A | 859 | A | — | — | Common Stock, par value $0.01 per share | 859 | 859 | D |
| Restricted Stock Units - 2015F5,F6 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 813 | 813 | 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 three equal installments beginning on December 1, 2018. The restricted stock units have no expiration date.
- F3The restricted stock units vest on December 1, 2018. The restricted stock units have no expiration date.
- F4The units representing these shares were surrendered to satisfy tax withholding obligations on the vesting of restricted stock unit awards.
- F5Each 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.
- F6The restricted stock units vest in three annual equal installments beginning on December 4, 2016. The restricted stock units have no expiration date.
- F7The restricted stock units vest in three annual installments beginning on November 30, 2019. The restricted stock units have no expiration date.
- F8The restricted stock units vest on November 30, 2019. The restricted stock units have no expiration date.