Annual Statement of Changes in Beneficial Ownership (5)

Date : 08/14/2019 @ 7:36PM
Source : Edgar (US Regulatory)
Stock : Southern Missouri Bancorp Inc (SMBC)
Quote : 36.84  0.0 (0.00%) @ 12:00AM

Annual Statement of Changes in Beneficial Ownership (5)

FORM 5
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

                                                                                  

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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
                      

1. Name and Address of Reporting Person *

STEFFENS GREG A

2. Issuer Name and Ticker or Trading Symbol

SOUTHERN MISSOURI BANCORP, INC. [SMBC]

5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
President and CEO

(Last)          (First)          (Middle)

S/O SOUTHERN MISSOURI BANCORP, INC.,  2991 OAK GROVE ROAD

3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
6/30/2019 
(Street)

POPLAR BLUFF, MO 63901

(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person


Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Amount (A) or (D) Price
Common Stock                 211333   D  
 
Common Stock                 41440   (1) I   By 401(k)  
Common Stock   9/12/2018     W   20027   A $0   20027   I   Custodian for daughter  
Common Stock   9/17/2018     W   4000   A $0   24027   I   Custodian for daughter  
Common Stock   9/12/2018     W   19951   A $0   19951   I   By son  
Common Stock   9/17/2018     W   4000   A $0   23951   I   By son  

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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
(MM/DD/YYYY)
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 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)
(A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy)   $37.31                   (2) 1/16/2028   Common Stock   3500     3500   D  
 
Stock Option (Right to Buy)   $34.35                   (3) 1/4/2029   Common Stock   3500     3500   D  
 

Explanation of Responses:
(1)  Reflects 401(k) contributions that have occurred since the date of the reporting person's last ownership report.
(2)  The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/16/2019. Each remaining installment vests annually thereafter.
(3)  The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/4/2020. Each remaining installment vests annually thereafter.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
STEFFENS GREG A
S/O SOUTHERN MISSOURI BANCORP, INC.
2991 OAK GROVE ROAD
POPLAR BLUFF, MO 63901
X
President and CEO

Signatures
/s/ Greg A. Steffens 8/14/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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