SEC Form 4 · accession 0001613665-18-000142
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
Dec 14, 2018
Accepted (ET)
Dec 14, 2018 · 5:24 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 14, 2018 | G | 9,500 | $0.00 | D | 33,800 | I | Spouse |
| Common Stock, par value $0.01 per shareF1 | Dec 14, 2018 | J | 9,500 | $0.00 | A | 61,662 | 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 - 2016F2,F3 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 3,869 | 3,869 | D |
| Restricted Stock Units - 2017F2,F4 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 7,427 | 7,427 | D |
| Restricted Stock Units (2017 STI)F2,F5 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 6,147 | 6,147 | D |
| Restricted Stock Units - 2018F2,F6 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 13,451 | 13,451 | D |
| Restricted Stock Units (2018 STI)F2,F7 | — | holding | — | — | — | — | — | Common Stock, par value $0.01 per share | 14,468 | 14,468 | D |
Explanation of responses
- F1Gift transaction previously reported as distributed from Direct ownership shares when it should have been reported as distributed from Indirect ownership shares.
- 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 annual equal installments beginning on December 2, 2017. The restricted stock units have no expiration date.
- F4The restricted stock units vest in three equal installments beginning on December 1, 2018. The restricted stock units have no expiration date.
- F5The restricted stock units vest in two annual equal installments beginning on December 1, 2018. The restricted stock units have no expiration date.
- F6The restricted stock units vest in three annual installments beginning on November 30, 2019. The restricted stock units have no expiration date.
- F7The restricted stock units vest in two annual equal installments beginning on November 30, 2019. The restricted stock units have no expiration date.