Statement of Changes in Beneficial Ownership (4)
February 23 2021 - 4:14PM
Edgar (US Regulatory)
FORM 4
[ ]
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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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
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DRAKE ALLEN C |
2. Issuer Name and Ticker or Trading Symbol
HBT Financial, Inc.
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HBT
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O HBT FINANCIAL, INC., 401 N. HERSHEY ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/19/2021 |
(Street)
BLOOMINGTON, IL 61704
(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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Common Stock, $0.01 per value (1) | 2/19/2021 | | A | | 550 | A | $0 | 1100 | D | |
Common Stock, $0.01 par value | | | | | | | | 5939880 | I | See Footnote (2) |
Common Stock, $0.01 par value | | | | | | | | 11318 | I | See Footnote (3) |
Common Stock, $0.01 par value | | | | | | | | 200980 | I | See Footnote (4) |
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 |
Explanation of Responses: |
(1) | The reporting person received 550 restricted stock units ("RSUs") under the HBT Financial, Inc. Omnibus Incentive Plan. The RSUs fully vest on February 28, 2022. |
(2) | The reporting person is the trustee of the George E. Drake Inter-Vivos Family Trust (the "Inter-Vivos Trust") and may be deemed to be the beneficial owner of shares held by the Inter-Vivos Trust to the extent that he or his immediate family members are beneficiaries of such trust. The Inter-Vivos Trust's interest in the common stock is represented by trust certificates issued by the Heartland Bancorp, Inc. Voting Trust U/A/D May 4, 2016 (the "Voting Trust"), which are held by the Inter-Vivos Trust. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(3) | The reporting person's interest in the common stock is represented by trust certificates issued by the Voting Trust held by the reporting person. |
(4) | The reporting person's interest in the common stock is represented by trust certificates issued by the Voting Trust held by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DRAKE ALLEN C C/O HBT FINANCIAL, INC. 401 N. HERSHEY ROAD BLOOMINGTON, IL 61704 | X | X |
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Signatures
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/s/ Andrea E. Zurkamer, Attorney-in-Fact | | 2/23/2021 |
**Signature of Reporting Person | Date |
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