Statement of Changes in Beneficial Ownership (4)
November 22 2019 - 12:47PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0287
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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
*
Wilbur Norman G |
2. Issuer Name and Ticker or Trading Symbol
SECURITY NATIONAL FINANCIAL CORP
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SNFCA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2637 MUSTANG DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/20/2019 |
(Street)
MEAD, CO 80542
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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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Code
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V
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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 | 11/20/2019 | | S | | 150 | D | $5.33 | 750 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Director Stock Option (right to buy) | $5.19 (1) | 12/7/2012 | | A | | 1408 (1) | | 12/7/2013 | 12/7/2022 | Class A Common Stock | 1408 (1) | $5.19 (1) | 1408 (1) | D | |
Director Stock Option (right to buy) | $5.47 (2) | 12/4/2015 | | A | | 6078 (2) | | 12/4/2016 | 12/4/2025 | Class A Common Stock | 6078 (2) | $5.47 (2) | 6078 (2) | D | |
Director Stock Option (right to buy) | $5.47 (3) | 12/7/2015 | | A | | 1216 (3) | | 12/7/2016 | 12/7/2025 | Class A Common Stock | 1216 (3) | $5.47 (3) | 1216 (3) | D | |
Director Stock Option (right to buy) | $6.03 (4) | 12/2/2016 | | A | | 5789 (4) | | 12/2/2017 | 12/2/2026 | Class A Common Stock | 5789 (4) | $6.03 (4) | 5789 (4) | D | |
Director Stock Option (right to buy) | $6.31 (5) | 12/7/2016 | | A | | 1158 (5) | | 12/7/2017 | 12/7/2026 | Class A Common Stock | 1158 (5) | $6.31 (5) | 1158 (5) | D | |
Director Stock Option (right to buy) | $4.56 (6) | 12/1/2017 | | A | | 1103 (6) | | 12/1/2018 | 12/1/2027 | Class A Common Stock | 1103 (6) | $4.56 (6) | 1103 (6) | D | |
Director Stock Option (right to buy) | $5.25 (7) | 11/30/2018 | | A | | 5250 (7) | | 2/28/2019 (7) | 11/30/2028 | Class A Common Stock | 5250 (7) | $5.25 (7) | 5250 (7) | D | |
Director Stock Option (right to buy) | $5.25 (8) | 11/30/2018 | | A | | 1050 (8) | | 2/28/2019 (8) | 11/30/2028 | Class A Common Stock | 1050 (8) | $5.25 (8) | 1050 (8) | D | |
Explanation of Responses: |
(1) | This was granted on December 7, 2012 as an option to purchase 1,000 shares of Class A Common Stock under the 2006 Director Stock Option Plan at an exercise price of $7.42 per share, but adjusted pursuant to the anti-dilution provisions of the 2006 Stock Option Plan to reflect 5% stock dividends paid on February 1, 2013, February 7, 2014, February 6, 2015, February 5, 2016, February 3, 2017, February 2, 2018, and February 1, 2019. |
(2) | This option was granted on December 4, 2015 as an option to purchase 5,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $6.72 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 5, 2016, February 3, 2017, February 2, 2018, and February 1, 2019. |
(3) | This option was granted on December 7, 2015 as an option to purchase 1,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $6.72 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 5, 2016, February 3, 2017, February 2, 2018, and February 1, 2019. |
(4) | This option was granted on December 2, 2016 as an option to purchase 5,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $7.03 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 3, 2017, February 2, 2018, and February 1, 2019. |
(5) | This option was granted on December 7, 2016 as an option to purchase 1,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $7.36 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 3, 2017, February 2, 2018, and February 1, 2019. |
(6) | This option was granted on December 1, 2017 as an option to purchase 1,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $5.05 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect 5% stock dividends paid on February 2, 2018 and February 1, 2019. |
(7) | This option was granted on November 30, 2018 as an option to purchase 5,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $5.52 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect a 5% stock dividend paid on February 1, 2019. The option vests in four equal quarterly installments of Class A Common Stock, beginning on February 28, 2019, until such shares are fully vested. |
(8) | This option was granted on November 30, 2018 as an option to purchase 1,000 shares of Class A Common Stock under the 2014 Director Stock Option Plan at an exercise price of $5.52 per share, but adjusted pursuant to the anti-dilution provisions of the 2014 Director Stock Option Plan to reflect a 5% stock dividend paid on February 1, 2019. The option vests in four equal quarterly installments of Class A Common Stock, beginning on February 28, 2019, until such shares are fully vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Wilbur Norman G 2637 MUSTANG DRIVE MEAD, CO 80542 | X |
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Signatures
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/s/Norman Gilbert Wilbur | | 11/21/2019 |
**Signature of Reporting Person | Date |
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