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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 | ||||||||
Restricted Stock Units - 2015 | (4) | 12/04/2018 | M | 82 | (5) | (5) | Common Stock, par value $0.01 per share | 82 | $ 0 | 0 | D | ||||
Restricted Stock Units - 2016 | (4) | (6) | (6) | Common Stock, par value $0.01 per share | 191 | 191 | D | ||||||||
Restricted Stock Units - 2017 | (4) | (7) | (7) | Common Stock, par value $0.01 per share | 407 | 407 | D | ||||||||
Restricted Stock Units - 2018 | (4) | (8) | (8) | Common Stock, par value $0.01 per share | 670 | 670 | D | ||||||||
Restricted Stock Units (2018 STI) | (4) | (9) | (9) | Common Stock, par value $0.01 per share | 438 | 438 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PEDERSON ANDREW JAMES C/O GREAT WESTERN BANCORP, INC. 225 SOUTH MAIN AVENUE SIOUX FALLS, SD 57104 |
Head of P&C and L&D |
Donald J. Straka, as attorney-in-fact for Andrew James Pederson | 12/06/2018 | |
**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) | The vesting and issuance of performance stock units granted in December 2015 and based on the achievement of pre-established performance objectives over a three year period ended September 30, 2018. |
(2) | The units representing these shares were surrendered to satisfy tax withholding obligations on the vesting of restricted stock unit awards. |
(3) | The units representing these shares were surrendered to satisfy tax withholding obligations on the vesting of performance stock unit awards. |
(4) | Each restricted stock unit represents a contingent right to receive one share of the common stock, par value $0.01 per share, of Great Western Bancorp, Inc. |
(5) | The restricted stock units vest in three annual equal installments beginning on December 4, 2016. The restricted stock units have no expiration date. |
(6) | The restricted stock units vest in three annual equal installments beginning on December 2, 2017. The restricted stock units have no expiration date. |
(7) | The restricted stock units vest in three equal installments beginning on December 1, 2018. The restricted stock units have no expiration date. |
(8) | The restricted stock units vest in three annual installments beginning on November 30, 2019. The restricted stock units have no expiration date. |
(9) | The restricted stock units vest on November 30, 2019. The restricted stock units have no expiration date. |