UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
PHANTOM STOCK | Â (5) | Â (5) | COMMON STOCK | 147 (4) | $ 17.9 | D | Â |
EMPLOYEE STOCK OPTION | Â (6) | 02/15/2018 | COMMON STOCK | 4,450 | $ 22.19 | D | Â |
EMPLOYEE STOCK OPTION | Â (6) | 03/04/2019 | COMMON STOCK | 6,230 | $ 8.13 | D | Â |
EMPLOYEE STOCK OPTION | Â (6) | 03/02/2021 | COMMON STOCK | 7,120 | $ 3.76 | D | Â |
EMPLOYEE STOCK OPTION | Â (6) | 03/02/2022 | COMMON STOCK | 7,120 | $ 3.71 | D | Â |
EMPLOYEE STOCK OPTION | Â (6) | 03/06/2023 | COMMON STOCK | 2,670 | $ 5.67 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CLARK TODD C ONE MAIN ST EVANSVILLE, IN 47708 |
 |  |  EXEC VP - CIO |  |
JEFFREY L KNIGHT, EXECUTIVE VP AND CHIEF LEGAL COUNSEL, AS ATTORNEY-IN-FACT | 05/24/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 17,250 restricted stock units, 5,542 restricted stock shares and 3,411 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(2) | Held jointly with spouse in a brokerage account. |
(3) | Held in an IRA account in a brokerage account. |
(4) | Each share of phantom stock represents the right to receive one share of ONB common stock or the cash value thereof. |
(5) | Shares of phantom stock are payable in cash following termination of the reporting person's employment with ONB or reporting person becoming disabled. The reporting person may transfer his phantom stock account into an alternative investment account at any time. |
(6) | Employee Stock Options originated from United Bancorp Inc. At the time of the merger, 7/31/2014, all options became exercisable. |