SEC Form 4 · accession 0000927089-19-000031
SOUTHERN MISSOURI BANCORP, INC. · SMBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kimberly A Capps
Officer — EVP, Chief Operations Officer
Period of report
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 6:02 pm 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 | 55,586 | D | |
| Common StockF2 | holding | — | — | — | 44,111 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 360 | I | Held by daughter | |
| Common Stock | holding | — | — | — | 360 | I | Held by son |
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)F5 | $34.35 | Jan 4, 2019 | A | 2,000 | A | — | Jan 4, 2029 | Common Stock | 2,000 | 2,000 | D |
| Stock Option (Right to Buy)F3 | $6.375 | holding | — | — | — | — | Jan 19, 2020 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (Right to Buy)F4 | $37.31 | holding | — | — | — | — | Jan 16, 2028 | 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.
- F2Reflects 401(k) contributions that have occurred since the date of the reporting person's last ownership report.
- F3The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/19/2011. Each remaining installment vests annually thereafter.
- F4The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/16/2019. Each remaining installment vests annually thereafter.
- F5The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/04/2020. Each remaining installment vests annually thereafter.