SEC Form 4/A · accession 0001127602-17-033563
FIDELITY SOUTHERN CORP · LION
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James B Miller Jr.
Officer — Chairman · Director · 10% Owner · Other
Period of report
Nov 28, 2017
Accepted (ET)
Nov 30, 2017 · 5:12 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 | Nov 28, 2017 | M | 50,000 | $9.00 | A | 2,876,372 | D | |
| Fidelity Southern Corporation - Common Stock | Nov 28, 2017 | S | 17,347 | $21.9092 | D | 2,826,372 | D | |
| Fidelity Southern Corporation - Common Stock | Nov 29, 2017 | S | 7,481 | $22.5056 | D | 2,868,891 | D | |
| Fidelity Southern Corporation - Common Stock | Nov 30, 2017 | S | 10,872 | $22.1656 | D | 2,858,019 | D | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 12,778 | I | By Grandchild - N.p. Miller | |
| Fidelity Southern Corporation - Common Stock | holding | — | — | — | 253,179 | 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 | — | — | — | 109,525 | I | By Trust - Spouse Estate | |
| Fidelity Southern Corporation - Common StockF1,F2,F3 | holding | — | — | — | 830 | I | By 401(k) |
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)F4 | $9.00 | Nov 28, 2017 | M | 50,000 | D | Dec 21, 2013 | Dec 21, 2017 | Fidelity Southern Corporation - Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1Not Active Footnote - 8/26/04
- F2Purchased 2200.4284 shares of Fidelity Southern Corporation stock in the 401(k) Plan at various times and prices during 2004.
- F3Purchased 3,254 shares through Fidelity Southern Corporation 401(k) Plan @ various times and prices during 2003
- F416,667 on 12/21/2013; 16,666 on 12/21/2014; 16,666 on 12/21/2015