Small Company Offering and Sale of Securities Without Registration (d)
November 19 2021 - 4:47PM
Edgar (US Regulatory)
o
NoneEntity Type | 0000835324 | S. Y. Bancorp, Inc. S Y BANCORP INC |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other |
| Name of Issuer |
Stock Yards Bancorp, Inc. |
| Jurisdiction of Incorporation/Organization |
| KENTUCKY |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| Stock Yards Bancorp, Inc. | |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| Louisville | KENTUCKY | 40206 | 502-582-2571 |
| Last Name | First Name | Middle Name |
| Stinnett | T. | Clay |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Executive Vice President, Treasurer and Chief Financial Officer of the issuer and the issuer's wholly owned bank. |
| Last Name | First Name | Middle Name |
| Bickel III | Paul | J. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Poindexter | Philip | S. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | President of the issuer and the issuer's wholly owned bank. |
| Last Name | First Name | Middle Name |
| Herde | Carl | G. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Lechleiter | Richard | A. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Thompson | Kathy | C. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Senior Executive Vice President of the issuer's wholly owned bank. |
| Last Name | First Name | Middle Name |
| Heintzman | David | P. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Hillebrand | James | A. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chief Executive Officer of the issuer and the issuer's wholly owned bank. |
| Last Name | First Name | Middle Name |
| Priebe | Stephen | M. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Brown | J. | McCauley |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Heitzman | Donna | L. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Schutte | John | L. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Dishman III | William | M. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Executive Vice President and Chief Risk Officer of the issuer's wholly owned bank. |
| Last Name | First Name | Middle Name |
| Saunier | Edwin | S. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Arvin | Shannon | B. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Croce | Michael | J. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Executive Vice President and Director of Retail Banking of the issuer's wholly owned bank. |
| Last Name | First Name | Middle Name |
| Rehm | Michael | V. |
| Street Address 1 | Street Address 2 |
| 1040 East Main Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Louisville | KENTUCKY | 40206 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Executive Vice President and Chief Lending Officer of the issuer's wholly owned bank. |
|
o
| Agriculture | | Health Care |
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| Retailing |
| | Banking & Financial Services | |
o
| Biotechnology |
o
| Restaurants |
| |
x
| Commercial Banking | |
o
| Health Insurance | | Technology |
| |
o
| Insurance | |
o
| Hospitals & Physicians | |
o
| Computers |
| |
o
| Investing | |
o
| Pharmaceuticals | |
o
| Telecommunications |
| |
o
| Investment Banking | |
o
| Other Health Care | |
o
| Other Technology |
| |
o
| Pooled Investment Fund
| | | | | Travel |
| |
o
| Other Banking & Financial Services |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
o
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
o
| No Revenues |
o
| No Aggregate Net Asset Value |
|
o
| $1 - $1,000,000 |
o
| $1 - $5,000,000 |
|
o
| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
o
| Over $100,000,000 |
o
| Over $100,000,000 |
|
x
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
o
| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
x
| New Notice | Date of First Sale | |
x
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
o
| Yes |
x
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
x
| Equity |
|
o
| Tenant-in-Common Securities |
o
| Debt |
|
o
| Mineral Property Securities |
o
| Option, Warrant or Other Right to Acquire Another Security |
|
o
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
o
| Other (describe) |
| | |
| 10. Business Combination Transaction |
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
x
| Yes |
o
| No |
| |
| Clarification of Response (if Necessary) | |
| In the business combination, each holder of target common stock will receive $11.20 in cash and 0.9267 shares of issuer common stock (the ''Merger Consideration'') for each share of target common stock. |
| Minimum investment accepted from any outside investor | $ 0 USD |
| Recipient | Recipient CRD Number |
o
| None |
| | |
| (Associated) Broker or Dealer |
o
| None | (Associated) Broker or Dealer CRD Number |
o
| None |
| | |
| Street Address 1 | Street Address 2 |
| | |
| City | State/Province/Country | ZIP/Postal Code |
| | | |
| State(s) of Solicitation |
o
| All States |
| |
| |
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 198535639 USD |
o
Indefinite |
| Total Amount Sold | $ 0 USD | |
| Total Remaining to be Sold | $ 198535639 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| The Total Offering Amount is the implied value of all of the shares of target common stock to be exchanged for shares of the issuer in the merger based on the Merger Consideration and calculated using the issuer's per share price on November 17, 2021. |
|
x
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
| 0 |
| | Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 0 |
| 15. Sales Commissions & Finders’ Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
| Sales Commissions | $ 0 USD |
o
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
| | $ 0 USD |
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Stock Yards Bancorp (NASDAQ:SYBT) Historical Stock Chart From Aug 2024 to Sep 2024
Stock Yards Bancorp (NASDAQ:SYBT) Historical Stock Chart From Sep 2023 to Sep 2024
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