SEC Form 4 · accession 0000906465-19-000039
QCR HOLDINGS INC · QCRH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Larry J Helling
Officer — President/CEO CRBT · Director
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 6:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000906465
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2019 | F | 1,021 | $36.00 | D | 9,951 | D | |
| Common Stock | holding | — | — | — | 36,450 | I | by IRA | |
| Common Stock | holding | — | — | — | 19,830 | I | by Managed Account | |
| Common Stock | holding | — | — | — | 4,285 | I | by Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF2 | $36.00 | Mar 1, 2019 | A | 3,422 | A | Mar 1, 2020 | Mar 1, 2029 | Common Stock | 3,422 | 3,422 | D |
| Non-Qualified Stock Option (right to buy) | $9.00 | holding | — | — | — | Feb 1, 2011 | Feb 1, 2020 | Common Stock | 4,186 | 4,186 | D |
| Non-Qualified Stock Option (right to buy) | $9.3008 | holding | — | — | — | Feb 1, 2013 | Feb 1, 2022 | Common Stock | 16,597 | 16,597 | D |
| Non-Qualified Stock Option (right to buy) | $15.65 | holding | — | — | — | May 1, 2014 | May 1, 2023 | Common Stock | 10,002 | 10,002 | D |
| Non-Qualified Stock Option (right to buy) | $17.10 | holding | — | — | — | Feb 3, 2015 | Feb 3, 2024 | Common Stock | 8,112 | 8,112 | D |
| Non-Qualified Stock Option (right to buy) | $17.49 | holding | — | — | — | Feb 2, 2016 | Feb 2, 2025 | Common Stock | 6,715 | 6,715 | D |
| Non-Qualified Stock Option (right to buy)F3 | $42.75 | holding | — | — | — | Mar 9, 2018 | Mar 9, 2027 | Common Stock | 3,072 | 3,072 | D |
| Performance SharesF5,F4 | $33.23 | holding | — | — | — | Jan 1, 2020 | Jan 14, 2029 | Common Stock | 15,047 | 15,047 | D |
Explanation of responses
- F1Surrender of common stock to issuer upon vesting of restricted stock award to pay withholding taxes
- F2Represents a restricted stock unit grant. Each restricted stock unit represents a contingent right to receive one share of QCR Holdings, Inc. common stock or the cash equivalent of one share of common stock. The restricted stock units vest in four annual equal installments beginning on March 1, 2020. The settlement of such units are anticipated to be settled in cash.
- F3These options are exercisable in annual increments of 25% each, with the first 25% vesting on the first anniversary of the option grant.
- F4These units vest in approximately equal installments on January 1 in each of calendar years 2020 through 2023.
- F5These units convert into shares of common stock on a 1-for-1 basis and fifty percent (50%) of the award is subject to a performance threshold.