SEC Form 4 · accession 0001437749-18-021143
HMN FINANCIAL INC · HMNF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hugh C Smith
Officer — Chairman of the Board · Director
Period of report
Nov 16, 2018
Accepted (ET)
Nov 20, 2018 · 4:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000921183
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 16, 2018 | M | 15,000 | $4.77 | A | 25,942 | D | |
| Common Stock | Nov 16, 2018 | F | 3,589 | $19.94 | D | 22,353 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $4.77 | Nov 16, 2018 | M | 3,000 | D | May 6, 2010 | May 5, 2019 | Common Stock | 3,000 | 0 | D |
| Common Stock | $4.77 | Nov 16, 2018 | M | 3,000 | D | May 6, 2011 | May 5, 2019 | Common Stock | 3,000 | 0 | D |
| Common Stock | $4.77 | Nov 16, 2018 | M | 3,000 | D | May 6, 2012 | May 5, 2019 | Common Stock | 3,000 | 0 | D |
| Common Stock | $4.77 | Nov 16, 2018 | M | 3,000 | D | May 6, 2013 | May 5, 2019 | Common Stock | 3,000 | 0 | D |
| Common Stock | $4.77 | Nov 16, 2018 | M | 3,000 | D | May 6, 2014 | May 5, 2019 | Common Stock | 3,000 | 0 | D |