SEC Form 4 · accession 0001096906-18-000186

SECURITY NATIONAL FINANCIAL CORP · SNFCA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

H. Craig Moody

Director

Period of report

Mar 26, 2018

Accepted (ET)

Apr 4, 2018 · 5:29 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000318673

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Class A Common Stock	Feb 2, 2018	J	779	$4.50	A	16,346	D
Class A Common Stock	Feb 2, 2018	J	74	$4.50	A	1,551	D
Class A Common Stock	Mar 26, 2018	M	4,074	$2.33	A	20,420	D
Class A Common Stock	Mar 26, 2018	M	2,895	$0.90	A	23,315	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Director Stock Option (right to buy)^F3	$2.33	Mar 31, 2008	M	4,074	D	Mar 31, 2009	Mar 31, 2018	Class A Common Stock	4,074	0	D
Director Stock Option (right to buy)^F4	$0.90	Dec 5, 2008	M	2,895	D	Dec 5, 2009	Dec 5, 2018	Class A Common Stock	2,895	0	D
Director Stock Option (right to buy)^F5	$2.24	Dec 4, 2009	A	7,757	A	Dec 4, 2010	Dec 4, 2019	Class A Common Stock	7,757	7,757	D
Director Stock Option (right to buy)^F6	$2.24	Dec 7, 2009	A	1,552	A	Dec 7, 2010	Dec 7, 2019	Class A Common Stock	1,552	1,552	D
Director Stock Option (right to buy)^F7	$1.23	Dec 3, 2010	A	7,388	A	Dec 3, 2011	Dec 3, 2020	Class A Common Stock	7,388	7,388	D
Director Stock Option (right to buy)^F8	$1.23	Dec 7, 2010	A	1,478	A	Dec 7, 2011	Dec 7, 2020	Class A Common Stock	1,478	1,478	D
Director Stock Option (right to buy)^F9	$0.91	Dec 2, 2011	A	7,036	A	Dec 2, 2012	Dec 2, 2021	Class A Common Stock	7,036	7,036	D
Director Stock Option (right to buy)^F10	$0.91	Dec 7, 2011	A	1,408	A	Dec 7, 2012	Dec 7, 2021	Class A Common Stock	1,408	1,408	D
Director Stock Option (right to buy)^F11	$1.15	Apr 13, 2012	A	6,701	A	Apr 13, 2013	Apr 13, 2022	Class A Common Stock	6,701	6,701	D
Director Stock Option (right to buy)^F12	$5.46	Dec 7, 2012	A	1,341	A	Dec 7, 2013	Dec 7, 2022	Class A Common Stock	1,341	1,341	D
Director Stock Option (right to buy)^F13	$3.75	Dec 6, 2013	A	6,179	A	Dec 6, 2014	Dec 6, 2023	Class A Common Stock	6,179	6,179	D
Director Stock Option (right to buy)^F14	$3.75	Dec 7, 2013	A	1,277	A	Dec 7, 2014	Dec 7, 2023	Class A Common Stock	1,277	1,277	D
Director Stock Option (right to buy)^F15	$4.09	Dec 5, 2014	A	6,078	A	Dec 5, 2015	Dec 5, 2024	Class A Common Stock	6,078	6,078	D
Director Stock Option (right to buy)^F16	$4.09	Dec 7, 2014	A	1,216	A	Dec 7, 2015	Dec 7, 2024	Class A Common Stock	1,216	1,216	D
Director Stock Option (right to buy)^F17	$5.76	Dec 14, 2015	A	5,789	A	Dec 4, 2016	Dec 4, 2025	Class A Common Stock	5,789	5,789	D
Director Stock Option (right to buy)^F18	$5.76	Dec 7, 2015	A	1,158	A	Dec 7, 2016	Dec 7, 2025	Class A Common Stock	1,158	1,158	D
Director Stock Option (right to buy)^F19	$6.35	Dec 2, 2016	A	5,513	A	Dec 2, 2017	Dec 2, 2026	Class A Common Stock	5,513	5,513	D
Director Stock Option (right to buy)^F20	$6.35	Dec 7, 2016	A	1,103	A	Dec 7, 2017	Dec 7, 2026	Class A Common Stock	1,103	1,103	D
Director Stock Option (right to buy)^F21	$4.79	Dec 1, 2017	A	1,050	A	Dec 1, 2018	Dec 1, 2027	Class A Common Stock	1,050	1,050	D

Explanation of responses

F1Received pursuant to a stock dividend paid on February 2, 2018.
F10This option was granted on December 7, 2011 as an option for 1,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $1.24 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 3, 2012, February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F11This option was granted on April 13, 2012 as an option for 5,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $1.56 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F12This option was granted on December 7, 2012 as an option for 1,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $7.42 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 plan to reflect 5% stock dividends paid on February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F13This option was granted on December 6, 2013 as an option for 4,842 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $4.85 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F14This option was granted on December 7, 2013 as an option for 1,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $4.85 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F15This option was granted on December 5, 2014 as an option for 5,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $5.02 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F16This option was granted on December 7, 2014 as an option for 1,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $4.85 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F17This option was granted on December 4, 2015 as an option for 5,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $6.72 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 5, 2016, February 3, 2017, and February 2, 2018.
F18This option was granted on December 7, 2015 as an option for 1,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $6.72 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 5, 2016, February 3, 2017, and February 2, 2018.
F19This option was granted on December 2, 2016 as an option for 5,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $7.03 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 3, 2017 and February 2, 2018.
F2The reporting person disclaims ownership of these securities, and this report should not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or any other purpose.
F20This option was granted on December 7, 2016 as an option for 1,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $7.36 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 3, 2017 and February 2, 2018.
F21This option was granted on December 1, 2017 as an option for 1,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $5.05 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect a 5% stock dividend paid on February 2, 2018. The option vests on December 1, 2018.
F3This option was granted on March 31, 2008 as an option for 2,500 shares of Class A Common Stock under the 2006 Director Option Plan at an exercise price of $3.85 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 6, 2009, February 5, 2010, February 4, 2011, February 3, 2012, February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F4This option was granted on December 5, 2008 as an option for 5,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $1.50 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 6, 2009, February 5, 2010, February 4, 2011, February 3, 2012, February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F5This option was granted on December 4, 2009 as an option for 5,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $3.52 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 5, 2010, February 4, 2011, February 3, 2012, February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F6This option was granted on December 7, 2009 as an option for 1,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $3.52 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect a 5% stock dividends paid on February 5, 2010, February 4, 2011, February 3, 2012, February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F7This option was granted on December 3, 2010 as an option for 5,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $1.83 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 plan to reflect 5% stock dividends paid on February 4, 2011, February 3, 2012, February 1, 2013, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F8This option was granted on December 7, 2010 as an option for 1,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $1.83 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 4, 2011, February 3, 2012, February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.
F9This option was granted on December 2, 2011 as an option for 5,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $1.30 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Director Stock Option Plan to reflect 5% stock dividends paid on February 3, 2012, February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, and February 2, 2018.