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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NATIONAL AUSTRALIA BANK LTD PIER 4 LEVEL 1, 800 BOURKE STREET DOCKLANDS, VICTORIA, C3 3008 |
 X |  X |  |  |
National Americas Holdings LLC 245 PARK AVENUE NEW YORK, NY 10167 |
 X |  X |  |  |
/s/ Louise Thomson as Company Secretary of National Australia Bank Limited | 10/14/2014 | |
**Signature of Reporting Person | Date | |
/s/ Matt Jensen as Authorized Person of National Americas Holdings LLC | 10/14/2014 | |
**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) | Effective October 17, 2014, the business day prior to the anticipated closing date of the initial public offering of common stock, par value $0.01 per share ("Common Stock"), of Great Western Bancorp, Inc. (the "Company"), the Company will amend its certificate of incorporation to effect a 578,861.14-for-1 split of its Common Stock. |
(2) | These securities are owned of record by National Americas Holdings LLC ("NAH"). National Australia Bank Limited ("NAB"), as the ultimate parent of NAH, is deemed to beneficially own all shares of Common Stock. The board of directors of NAB has the power to vote, or direct the vote of, and to dispose, or direct the disposition of, shares of Common Stock owned of record by NAH. Each of NAB and NAH may be deemed a director by deputization of the Company. |