Statement of Changes in Beneficial Ownership (4)
March 01 2022 - 4:47PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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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
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DRAKE FRED L |
2. Issuer Name and Ticker or Trading Symbol
HBT Financial, Inc.
[
HBT
]
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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 |
(Last)
(First)
(Middle)
C/O HBT FINANCIAL, INC., 401 N. HERSHEY ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2022 |
(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)
___ Form filed by One Reporting Person
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X
_ 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 par value (1) | 2/25/2022 | | A | | 6135 | A | $0 | 25563 | D | |
Common Stock, $0.01 par value | | | | | | | | 93670 | I | By the Fred L. Drake Revocable Trust |
Common Stock, $0.01 par value | | | | | | | | 17210400 | I | See footnote (2) |
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 6,135 restricted stock units ("RSUs") under the HBT Financial, Inc. Omnibus Incentive Plan. The RSUs vest in three annual installments, with 33% vesting on February 28, 2023, 33% vesting on February 29, 2024, and 34% vesting on February 28, 2025. |
(2) | Consists of shares of common stock held by the Heartland Bancorp, Inc. Voting Trust U/A/D May 4, 2016 (the "Voting Trust"). Mr. Drake is the trustee of the Voting Trust and exercises sole voting and investment control over the common stock held thereby. Mr. Drake may be deemed to be the beneficial owner of securities held by the Voting Trust to the extent that he or his immediate family members are beneficiaries of such trust. Mr. Drake disclaims beneficial ownership of the shares held by the Voting Trust 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 FRED L C/O HBT FINANCIAL, INC. 401 N. HERSHEY ROAD BLOOMINGTON, IL 61704 | X | X | CHAIRMAN AND CEO |
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HEARTLAND BANCORP, INC. VOTING TRUST U/A/D 5/4/2016 C/O HBT FINANCIAL, INC. 401 N. HERSHEY ROAD BLOOMINGTON, IL 61704 |
| X |
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Signatures
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/s/ Renee K. Fehr, Attorney-in-Fact for Fred L. Drake | | 3/1/2022 |
**Signature of Reporting Person | Date |
/s/ Renee K. Fehr, Attorney-in-Fact for Heartland Bancorp, Inc. Voting Trust U/A/D 5/4/2016 | | 3/1/2022 |
**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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