Amended Annual Statement of Changes in Beneficial Ownership (5/a)
April 12 2019 - 3:45PM
Edgar (US Regulatory)
FORM 5
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
TRAGER STEVE
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2. Issuer Name
and
Ticker or Trading Symbol
REPUBLIC BANCORP INC /KY/ [RBCAA]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman and CEO
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(Last)
(First)
(Middle)
601 WEST MARKET STREET
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2018
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(Street)
LOUISVILLE, KY 40202
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
2/14/2019
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Class A Common Stock
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12/10/2018
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G
(2)
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416876.997
(4)
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D
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(2)
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5643577.495
(2)
(4)
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I
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By Teebank Family Limited Partnership
(1)
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Class A Common Stock
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12/10/2018
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G
(3)
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195408.854
(4)
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D
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(3)
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5448168.641
(3)
(4)
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I
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By Teebank Family Limited Partnership
(1)
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Class B Common Stock
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12/10/2018
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G
(2)
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54659.021
(4)
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(6)
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(7)
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Class A Common Stock
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54659.021
(4)
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(2)
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739960.293
(2)
(4)
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I
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By Teebank Family Limited Partnership
(1)
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Class B Common Stock
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12/10/2018
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G
(3)
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25621.123
(4)
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(6)
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(7)
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Class A Common Stock
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25621.123
(4)
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(3)
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714339.170
(3)
(4)
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I
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By Teebank Family Limited Partnership
(1)
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Explanation of Responses:
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(1)
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Teebank Family Limited Partnership ("Teebank") is a family limited partnership. A trust ("GP Trust 1") in which the Reporting Person is a trustee is a co-General Partner of Teebank. A trust ("GP Trust 2") in which the Reporting Person and his mother are co-trustees is the other co-General Partner of Teebank. The Reporting Person is trustee of multiple trusts (the "LP Trusts") for the benefit of the Reporting Person and certain of the Reporting Person's immediate family members. The LP Trusts are limited partners of Teebank. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
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(2)
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The Reporting Person is the trustee and beneficiary of an LP Trust ("LP Trust 1"). Effective 12/10/2018, LP Trust 1 gifted $12.8 million in Teebank interests to another LP Trust ("LP Trust 2"), the co-trustee of which is the Reporting Person's spouse and the beneficiaries of which are the Reporting Person's spouse and two children. The Reporting Person will continue to report the shares underlying the Teebank interests held in LP Trust 2.
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(3)
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The Reporting Person is also the trustee of an LP Trust in which the Reporting Person's sister is the beneficiary ("LP Trust 3"). Effective 12/10/2018, LP Trust 3 gifted $6 million worth of Teebank interests to the Reporting Person's sister.
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(4)
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As of the original reporting date, Teebank engaged a valuation firm to conduct an appraisal of its limited partnership units. This amendment is being filed to reflect the number of issuer securities that were the subject of this transaction based on such appraisal.
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(5)
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Class B Common Stock is immediately convertible into Class A Common Stock on a one share for one share basis.
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(6)
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Immediate.
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(7)
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None.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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TRAGER STEVE
601 WEST MARKET STREET
LOUISVILLE, KY 40202
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X
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X
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Chairman and CEO
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Signatures
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/s/ Steven E. Trager
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4/12/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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