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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Murphy Carmen C 1237 EAST JEFFERSON BOULEVARD SOUTH BEND, IN 46617 |
 |  X |  |  |
/s/ John B. Griffith, Attorney-in-Fact for Carmen C. Murphy (power of attorney previously filed) | 02/13/2018 | |
**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) | Includes 520,064 shares of common stock held directly by Mr. Murphy, 53,518 shares of common stock held indirectly by Mr. Murphy under the 1st Source Corporation 401(k) Plan, 125,893 shares of common stock held indirectly by Mr. Murphy through a corporation and 935,020 shares of common stock held indirectly by Mr. Murphy through three limited partnerships. Mrs. Murphy disclaims beneficial ownership of these shares of common stock, and this report on Form 3 shall not be deemed an admission that Mrs. Murphy is the beneficial owner of these shares of common stock for purposes of Section 16 or for any other purpose. |
(2) | Between January 1, 2017 and December 31, 2017, Mr. Murphy acquired a total of 997 shares of 1st Source Corporation common stock under the 401(k) Plan. The information in this report is based on a plan statement dated as of December 31, 2017. |
(3) | Mrs. Murphy is a voting member of the LLC. Mrs. Murphy disclaims beneficial ownership of those shares of common stock held by the LLC exceeding her pecuniary interest, and this report shall not be deemed an admission that Mrs. Murphy is the beneficial owner of such excess shares of common stock for purposes of Section 16 or for any other purpose. |
(4) | Indirect through the 1957 E. L. Morris FBO Carmen C. Murphy Trust. |
(5) | Mrs. Murphy has the power to direct the trustee with respect to the disposition of the reported shares of common stock. Mrs. Murphy disclaims beneficial ownership of these shares of common stock except to the extent of her pecuniary interest therein, and the inclusion of these shares of common stock in this report shall not be deemed an admission of beneficial ownership of all of the reported shares of common stock for purposes of Section 16 or for any other purpose. |
(6) | Indirect through the 1959 E. L. Morris FBO Carmen C. Murphy Trust. |
(7) | Indirect through the E. M. Raclin FBO Carmen C. Murphy Trust. |
(8) | Indirect through a 1965 E. L. Morris FBO E. M. Raclin and Carmen C. Murphy Trust. |
(9) | Indirect through a second 1965 E. L. Morris FBO E. M. Raclin and Carmen C. Murphy Trust. |
(10) | Indirect through the Carmen C. Murphy Charitable Annuity Trust. |
(11) | Indirect through the Ella Morris Trust FBO Carmen C. Murphy. |
(12) | Indirect through the Ernestine M. Raclin Charitable Irrevocable Trust FBO Carmen C. Murphy. |
(13) | Indirect through the 1960 Ernestine M. Raclin Irrevocable Trust FBO Carmen C. Murphy. |
(14) | Indirect through the Ella Morris Charitable Trust FBO Carmen C. Murphy. |
(15) | Indirect through the Ella Morris Irrevocable Charitable Living Trust FBO Carmen C. Murphy. |
(16) | Indirect through the 1965 Ernestine M. Raclin Irrevocable Trust FBO Carmen C. Murphy. |