SEC Form 4 · accession 0001350656-16-000007
SB FINANCIAL GROUP, INC. · SBFG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Klein
Officer — CHAIRMAN, PRESIDENT & CEO · Director
Period of report
Jun 20, 2016
Accepted (ET)
Jun 21, 2016 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000767405
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | holding | — | — | — | 10,964 | I | ESPP | |
| COMMON STOCK | holding | — | — | — | 10,252 | I | ESOP | |
| COMMON STOCKF1 | holding | — | — | — | 7,410 | D | ||
| COMMON STOCK | holding | — | — | — | 12,553 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DEPOSITARY SHARESF2,F3 | $10.32 | Jun 20, 2016 | P | 180 | A | — | — | COMMON SHARES | 174 | 10,250 | D |
Explanation of responses
- F1THE SHARES WERE ACQUIRED PURSUANT TO A GRANT OF RESTRICTED STOCK UNITS UNDER THE COMPANY'S 2008 STOCK INCENTIVE PLAN. THE AWARD VESTS IN FOUR EQUAL INSTALLMENTS BEGINNING FEBRUARY 5TH. 2/5/13 AWARD=3,000; 2,250 SHS VESTED=750 2/5/14 AWARD=2,100; 1,050 SHS VESTED=1,050 2/5/15 AWARD=2,168; 542 SHS VESTED=1,626 2/5/16=3,984 (750+1,050+1,626+3,984=7,410)
- F2REPRESENTING A 1/100TH OWNERSHIP INTEREST IN A 6.50% NONCUMLATIVE CONVERTIBLE PERPETUAL PREFERRED SHARE, SERIES A
- F3THE DEPOSITARY SHARES ARE CONVERTIBLE INTO COMMON SHARES BY THE HOLDER AT ANYTIME AND HAVE NO EXPIRATION DATE.