SEC Form 4 · accession 0001225208-15-022045
AMERIANA BANCORP · ASBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerome J Gassen
Officer — President and CEO · Director
Period of report
Dec 8, 2015
Accepted (ET)
Dec 10, 2015 · 3:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000855574
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 8, 2015 | M | 3,500 | $12.43 | A | 37,250 | D | |
| Common Stock | Dec 8, 2015 | S | 3,500 | $23.11 | D | 33,750 | D | |
| Common Stock | holding | — | — | — | 5,229 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 1,000 | I | By IRA |
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) | $12.43 | Dec 8, 2015 | M | 3,500 | D | Dec 29, 2005 | Dec 29, 2015 | Common Stock | 3,500 | 0 | D |
| Stock Option (Right to Buy)F2 | $11.93 | holding | — | — | — | — | Sep 20, 2023 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.36, inclusive. The reporting person undertakes to provide to Ameriana Bancorp, any security holder of Ameriana Bancorp or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the ranges set forth in this footnote.
- F2Stock options vest as follows: 20% vested immediately on the date of the grant, September 20, 2013, and 20% will vest on each of the following four anniversary dates of the grant.