SEC Form 4 · accession 0000927089-19-000027
SOUTHERN MISSOURI BANCORP, INC. · SMBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Windes
Officer — Chief Lending Officer
Period of report
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 10:32 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000916907
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 4, 2019 | A | 600 | $0.00 | A | 600 | D |
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 | $34.35 | Jan 4, 2019 | A | 2,000 | A | — | Jan 4, 2029 | Common Stock | 2,000 | 2,000 | D |
Explanation of responses
- F1The shares are scheduled to vest over a five-year period beginning February 9, 2020, with up to 20% of the shares vesting on that date and on each of the next four anniversaries of that date based on the extent to which the Company's annualized return on average assets over the 12 calendar quarters ending immediately prior to the applicable vesting date exceeds a threshold level.
- F2The options become exercisable in 20% installments over a five-year period with the fisrt installment vesting on 1/04/2020. Each remaining installment vests annually thereafter.