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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 | |||||||||
Class B Common Stock | Â | Â | Â | Â | Â | Â | Â (6) | Â (7) | Class A Common Stock | Â | 86,849.547 | By Jaytee Properties Limited Partnership (1) | ||
Class B Common Stock | Â | 11/07/2012 | Â | G(3) | Â | 55,427.492 | Â (6) | Â (7) | Class A Common Stock | $ 0 | 653,629.819 | By Teebank Family Limited Partnership (2) | ||
Class B Common Stock | Â | 11/07/2012 | Â | G(3) | 27,713.746 | Â | Â (6) | Â (7) | Class A Common Stock | $ 0 | 681,343.565 | By Teebank Family Limited Partnership (2) | ||
Class B Common Stock | Â | 11/07/2012 | Â | G(3) | 27,713.746 | Â | Â (6) | Â (7) | Class A Common Stock | $ 0 | 709,057.311 | By Teebank Family Limited Partnership (2) | ||
Class B Common Stock | Â | Â | Â | Â | Â | Â | Â (6) | Â (7) | Class A Common Stock | Â | 17,014 | Â | ||
Class B Common Stock | Â | Â | Â | Â | Â | Â | Â (6) | Â (7) | Class A Common Stock | Â | 1,214.5 | By 401(k) Plan |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TRAGER STEVE 601 WEST MARKET STREET LOUISVILLE, KY 40202 |
 X |  X |  President and CEO |  |
/s/ Steven E. Trager | 02/14/2013 | |
**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) | Jaytee Properties Limited Partnership ("Jaytee") is a family limited partnership of which the reporting person is general partner and a limited partner and of which trusts for the benefit of, among others, the reporting person and the reporting person's two children are limited partners. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(2) | Teebank Family Limited Partnership ("Teebank") is a family limited partnership of which the reporting person is general partner and a limited partner and of which trusts for the benefit of, among others, the reporting person and the reporting person's two children are limited partners. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(3) | The reporting person gifted partnership units representing an interest in the assets of Teebank to irrevocable trusts for the benefit of his two children. |
(4) | The reporting person disclaims beneficial ownership of these securities, and the report shall not be deemed an admission that the reporting person is the beneficial owner of such securities. |
(5) | Conversion from Class B Common Stock to Class A Common Stock is on a share for share basis. |
(6) | Immediate. |
(7) | None. |