SEC Form 4 · accession 0001127602-16-038715
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 29, 2016
Accepted (ET)
Feb 1, 2016 · 3:34 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 StockF1 | Jan 29, 2016 | J | 6,250 | $0.00 | D | 2,755,914 | D | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 857 | I | By 401(k) | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 12,456 | I | By Grandchild - N.p. Miller | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 239,803 | 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 | — | — | — | 106,655 | 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)F2 | $9.00 | holding | — | — | — | Dec 21, 2013 | Dec 21, 2017 | Fidelity Southern Corporation - Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Forfeited due to TARP restrictions. Grant 1/22/2010: 1,250 shares forfeited for shares vested 1/22/2014 and 5,000 shares forfeited for shares vested 1/22/2015.
- F216,667 on 12/21/2013; 16,666 on 12/21/2014; 16,666 on 12/21/2015