SEC Form 4 · accession 0001127602-16-037555
FIDELITY SOUTHERN CORP · LION
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James B Miller Jr.
Officer — Chairman · Director · 10% Owner · Other
Period of report
Jan 19, 2016
Accepted (ET)
Jan 21, 2016 · 5:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000822662
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Fidelity Southern Corporation - Common Stock | Jan 19, 2016 | F | 2,502 | $18.89 | D | 2,639,664 | D | |
| Fidelity Southern Corporation - Common StockF2 | Jan 19, 2016 | J | 2,500 | $0.00 | D | 2,637,164 | D | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 880 | I | By 401(k) | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 12,222 | I | By Grandchild - N.p. Miller | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 228,693 | I | By Shares Held By Ltd Partnership | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 247,672 | I | By Trust - Family | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 104,214 | I | By Trust - Spouse Estate |
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)F3 | $9.00 | holding | — | — | — | Dec 21, 2013 | Dec 21, 2017 | Fidelity Southern Corporation - Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Shares withheld for tax obligations (vested restricted shares)
- F2Forfeited due to TARP restrictions.
- F316,667 on 12/21/2013; 16,666 on 12/21/2014; 16,666 on 12/21/2015