SEC Form 4 · accession 0001127602-16-037613
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 21, 2016
Accepted (ET)
Jan 22, 2016 · 11:40 am 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 StockF1 | Jan 21, 2016 | A | 125,000 | $0.00 | A | 2,762,164 | D | |
| Fidelity Southern Corporation - Common StockF2,F3,F4 | 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)F5 | $9.00 | holding | — | — | — | Dec 21, 2013 | Dec 21, 2017 | Fidelity Southern Corporation - Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1These shares are restricted shares subject to a risk of forfeiture under certain circumstances.
- F2Not Active Footnote - 8/26/04
- F3Purchased 2200.4284 shares of Fidelity Southern Corporation stock in the 401(k) Plan at various times and prices during 2004.
- F4Purchased 3,254 shares through Fidelity Southern Corporation 401(k) Plan @ various times and prices during 2003
- F516,667 on 12/21/2013; 16,666 on 12/21/2014; 16,666 on 12/21/2015