SEC Form 4 · accession 0001225208-18-006341
Ottawa Bancorp Inc · OTTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc N Kingry
Officer — CFO
Period of report
Mar 16, 2018
Accepted (ET)
Mar 19, 2018 · 11:14 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001675192
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 16, 2018 | M | 3,596 | $3.57 | A | 14,163 | D | |
| Common Stock | holding | — | — | — | 2,200 | I | By 401(k) Plan | |
| Common StockF1 | holding | — | — | — | 5,386 | I | By ESOP | |
| Common Stock | holding | — | — | — | 1,668 | I | By IRA | |
| Common Stock | holding | — | — | — | 200 | I | By Son | |
| Common Stock | holding | — | — | — | 119 | I | By Spouse as custodian under UTMA for NK |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $3.57 | Mar 16, 2018 | M | 3,596 | D | Nov 19, 2011 | Nov 16, 2021 | Common Stock | 3,596 | 10,000 | D |
Explanation of responses
- F1This form reflects an increase in beneficial ownership resulting from an exempt acquisition pursuant to Rule 16b-3(c).
- F2Options are fully vested and exercisable.