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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 14.7 | 08/17/2016 | M | 1,000 | (5) | 01/31/2022 | Common Stock | 14,562 | $ 14.7 | 14,562 | D | ||||
Employee Stock Option (Right to Buy) | $ 23 | (6) | 10/26/2025 | Common Stock | 7,000 | 7,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 18.92 | (7) | 07/31/2024 | Common Stock | 3,253 | 3,253 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SAWRIE K MATTHEW C/O HOME FEDERAL BANK 624 MARKET STREET SHREVEPORT, LA 71101 |
SVP Commercial Lending* |
/s/ Clyde D. Patterson, by P.O.A. for K. Matthew Sawrie | 08/19/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 1,000 shares granted pursuant to the 2014 Stock Incentive Plan that vest 20% per year commencing on October 26, 2016. |
(2) | Includes 3,006 shares and 803 shares held in the 2011 Recognition and Retention Plan Trust which reflect the unvested portion of grant awards originally covering 7,509 shares and 1,003 shares, respectively, that commenced vesting at a rate of 20% per year on January 31, 2013 and July 31, 2015, respectively, and 1,922 shares held jointly with the reporting person's spouse. |
(3) | Reflects units which represent share interests and a reserve of cash in the Issuer's 401(k) Plan. Based on a report dated September 29, 2015. |
(4) | Includes shares allocated to the reporting person's account in the ESOP since the last filed Form 4. |
(5) | The options are vesting at a rate of 20% per year commencing on January 31, 2013. |
(6) | The options vest at a rate of 20% per year commencing on October 26, 2016. |
(7) | The options are vesting at a rate of 20% per year commencing on July 31, 2015. |
Remarks: *Senior Vice President Commercial Lending of Home Federal Bank (Issuer Subsidiary). |