SEC Form 4 · accession 0000707179-16-000239
OLD NATIONAL BANCORP /IN/ · ONB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Caroline J Ellspermann
Officer — PRESIDENT - WEALTH MANAGEMENT
Period of report
Apr 28, 2015
Accepted (ET)
Apr 5, 2016 · 3:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000707179
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Feb 1, 2016 | D | 2,999 | $11.67 | D | 63,282 | D | |
| COMMON STOCK | Feb 1, 2016 | F | 1,890 | $11.67 | A | 65,172 | D | |
| COMMON STOCKF1 | Feb 26, 2016 | D | 11,251 | $11.38 | D | 53,921 | D | |
| COMMON STOCK | Feb 1, 2016 | D | 1,083 | $11.67 | D | 19,232 | I | KENNETH ELLSPERMAN |
| COMMON STOCKF6 | Feb 1, 2016 | F | 682 | $11.67 | A | 19,914 | I | KENNETH ELLSPERMAN |
| COMMON STOCKF2 | holding | — | — | — | 1,444 | D | ||
| COMMON STOCKF3 | holding | — | — | — | 6,337 | D | ||
| COMMON STOCKF4 | holding | — | — | — | 5,353 | I | CAROLINE ELLSPERMAN - ONB KSOP | |
| COMMON STOCKF4 | holding | — | — | — | 5,780 | I | KENNETH ELLSPERMAN - ONB KSOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| PHANTOM STOCKF9,F8,F7 | $13.59 | Apr 28, 2015 | P | 8,889 | A | — | — | COMMON STOCK | 8,889 | 8,889 | I |
| PHANTOM STOCKF8,F7 | $14.43 | Jun 16, 2015 | J | 74 | A | — | — | COMMON STOCK | 74 | 8,963 | I |
| PHANTOM STOCKF8,F7 | $14.17 | Sep 15, 2015 | J | 76 | A | — | — | COMMON STOCK | 76 | 9,039 | I |
| PHANTOM STOCKF8,F7 | $13.80 | Dec 15, 2015 | J | 79 | A | — | — | COMMON STOCK | 79 | 9,118 | I |
| PHANTOM STOCKF8,F7 | $11.90 | Mar 15, 2016 | J | 100 | A | — | — | COMMON STOCK | 100 | 9,217 | I |
| PHANTOM STOCKF8,F7 | $12.16 | Apr 4, 2016 | P | 52 | A | — | — | COMMON STOCK | 52 | 9,269 | I |
| EMPLOYEE STOCK OPTIONF5 | $21.65 | holding | — | — | — | Feb 1, 2007 | Feb 24, 2016 | COMMON STOCK | 8,700 | 8,700 | D |
| EMPLOYEE STOCK OPTION | $18.43 | holding | — | — | — | Jan 25, 2008 | Jan 25, 2017 | COMMON STOCK | 12,300 | 12,300 | D |
| EMPLOYEE STOCK OPTION | $15.29 | holding | — | — | — | Feb 1, 2009 | Jan 24, 2018 | COMMON STOCK | 12,000 | 12,000 | D |
| EMPLOYEE STOCK OPTION | $13.31 | holding | — | — | — | Feb 1, 2010 | Jan 29, 2019 | COMMON STOCK | 7,000 | 7,000 | D |
Explanation of responses
- F1Includes 24,000 restricted stock units, 5,418 restricted stock shares and 24,503 shares of common stock. Fractional amounts have been rounded to the nearest whole number.
- F2Registered as Caroline Ellspermann IRA - held by broker.
- F3Registered as joint tenants - Kenneth and Caroline Ellspermann - held by broker.
- F4KSOP Shares updated to include current balance.
- F5Immediately exercisable.
- F6Includes 15,375 restricted stock units, 3,542 restricted stock shares and 997 shares of common stock.. Fractional amounts have been rounded to the nearest whole number.
- F7Each share of phantom stock represents the right to receive one share of ONB common stock or the cash value thereof.
- F8Shares of phantom stock are payable in cash following termination of the reporting person's employment with ONB or reporting person becoming disabled. The reporting person may transfer his phantom stock account into an alternative investment account at any time.
- F9Due to an inadvertent administrative error, the reporting of the 4/28/2015, 6/16/2015, 9/15/2015, and 12/15/2015 transactions were not timely filed.