SEC Form 5 · accession 0001127602-17-005128
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
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 9:25 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 | Dec 31, 2016 | J | 6,736 | $0.00 | A | 253,179 | I | By Shares Held By Ltd Partnership |
| Fidelity Southern Corporation - Common StockF1 | Dec 31, 2016 | J | 3,070 | $0.00 | A | 109,525 | I | By Trust - Spouse Estate |
| Fidelity Southern Corporation - Common StockF1 | Dec 31, 2016 | J | 322 | $0.00 | A | 12,778 | I | By Grandchild - N.p. Miller |
| Fidelity Southern Corporation - Common StockF2 | Dec 31, 2016 | J | 27 | $0.00 | D | 830 | I | By 401(k) |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 2,749,553 | D | ||
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 247,672 | I | By Trust - Family |
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
- F1Reinvested cash dividend shares received during the reporting year.
- F2Reallocation of 401(k) assets during the reporting year
- F316,667 on 12/21/2013; 16,666 on 12/21/2014; 16,666 on 12/21/2015