SEC Form 4 · accession 0001613665-18-000136
Great Western Bancorp, Inc. · GWB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Gough
Officer — EVP and Chief Credit Officer
Period of report
Dec 4, 2018
Accepted (ET)
Dec 6, 2018 · 5:17 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 4, 2018 | M | 163 | $0.00 | A | 4,772 | D | |
| Common Stock, par value $0.01 per shareF1 | Dec 4, 2018 | A | 721 | $0.00 | A | 5,493 | D | |
| Common Stock, par value $0.01 per shareF2 | Dec 4, 2018 | F | 40 | $34.51 | D | 5,453 | D | |
| Common Stock, par value $0.01 per shareF3 | Dec 4, 2018 | F | 176 | $34.51 | D | 5,277 | 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 - 2015F4,F5 | — | Dec 4, 2018 | M | 163 | D | — | — | Common Stock, par value $0.01 per share | 163 | 0 | D |
| Restricted Stock Units - 2016F4,F6 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 150 | 150 | D |
| Restricted Stock Units - 2017F4,F7 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 691 | 691 | D |
| Restricted Stock Units - 2018F4,F8 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 1,367 | 1,367 | D |
| Restricted Stock Units (2018 STI)F4,F9 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 812 | 812 | D |
Explanation of responses
- F1The vesting and issuance of performance stock units granted in December 2015 and based on the achievement of pre-established performance objectives over a three year period ended September 30, 2018.
- F2The units representing these shares were surrendered to satisfy tax withholding obligations on the vesting of restricted stock unit awards.
- F3The units representing these shares were surrendered to satisfy tax withholding obligations on the vesting of performance stock unit awards.
- F4Each 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.
- F5The restricted stock units vest in three annual equal installments beginning on December 4, 2016. 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.
- F7The restricted stock units vest in three equal installments beginning on December 1, 2018. 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 on November 30, 2019. The restricted stock units have no expiration date.