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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) | $ 19.89 | 11/19/2014 | 11/18/2015 | Class A Common Stock | 7,500 | 7,500 | D | ||||||||
Employee Stock Option (right to buy) | $ 24.47 | 04/24/2015 | A | 2,750 | 04/24/2019 | 04/24/2020 | Class A Common Stock | 2,750 | $ 24.47 | 2,750 | D | ||||
Employee Stock Option (right to buy) | $ 24.47 | 04/24/2015 | A | 2,750 | 04/24/2020 | 04/24/2021 | Class A Common Stock | 2,750 | $ 24.47 | 2,750 | D | ||||
Class B Common Stock | (6) | (7) | (8) | Class A Common Stock | 29,488 | 29,488 | D | ||||||||
Class B Common Stock | (6) | (7) | (8) | Class A Common Stock | 2,480.615 | 2,480.615 | I | By Teebank Family Limited Partnership (2) | |||||||
Class B Common Stock | (6) | (7) | (8) | Class A Common Stock | 443.778 | 443.778 | I | By Jaytee Properties Limited Partnership (3) | |||||||
Class B Common Stock | (6) | (7) | (8) | Class B Common Stock | 4,107 | 4,107 | I | By Trager Family Irrevocable Trust (5) | |||||||
Class B Common Stock | (6) | (7) | (8) | Class B Common Stock | 1,190 | 1,190 | I | By 401(k) Plan |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TRAGER SCOTT 601 WEST MARKET STREET LOUISVILLE, KY 40202 |
X | X | Vice Chairman |
/s/ Scott Trager | 04/29/2015 | |
**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 158.878 shares acquired under the Issuer's dividend reinvestment plan. |
(2) | Teebank Family Limited Partnership is a family limited partnership of which the reporting person is a limited partner. |
(3) | Jaytee Properties Limited Partnership is a family limited partnership of which the reporting person is a limited partner. |
(4) | Includes an increase of 1,195.089 shares held under the Issuer's 401(k) plan since the date of the reporting person's last ownership report. |
(5) | Trager Family Irrevocable Trust is a family trust of which the reporting person is a co-trustee and a beneficiary. |
(6) | Conversion from Class B Common Stock to Class A Common Stock is on a share for share basis. |
(7) | Immediate. |
(8) | None. |