Statement of Changes in Beneficial Ownership (4)
January 27 2021 - 4:41PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
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
*
NELSON DAVID D |
2. Issuer Name and Ticker or Trading Symbol
WEST BANCORPORATION INC
[
WTBA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO & PRESIDENT |
(Last)
(First)
(Middle)
1601 22ND STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/25/2021 |
(Street)
WEST DES MOINES, IA 50266
(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)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
COMMON STOCK | 1/25/2021 | | A | | 15000 (1) | A | $0 | 107703 | D | |
COMMON STOCK | | | | | | | | 374 | I | By Natalie Ann Nelson Roth IRA |
COMMON STOCK | | | | | | | | 57235 | I | By Katherine A. Nelson Rev Trust |
COMMON STOCK | | | | | | | | 25330 (2) | I | By 401(k) Plan |
Table II - Derivative Securities 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 | 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) | Shares were acquired pursuant to a grant of restricted stock units, 7,500 units of which, vest in five equal annual installments beginning March 25, 2022. The remaining 7,500 units cliff vest on March 25, 2023, subject to achievement of performance criteria established by the Compensation Committee as set out in the grant. |
(2) | 260 shares were acquired pursuant to dividend reinvestment purchases in the employee savings plan 401(k) during the period from October 1, 2020 through December 31, 2020. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
NELSON DAVID D 1601 22ND STREET WEST DES MOINES, IA 50266 | X |
| CEO & PRESIDENT |
|
Signatures
|
/s/ Jane Funk, By Power of Attorney | | 1/27/2021 |
**Signature of Reporting Person | Date |
West Bancorporation (NASDAQ:WTBA)
Historical Stock Chart
From Mar 2024 to Apr 2024
West Bancorporation (NASDAQ:WTBA)
Historical Stock Chart
From Apr 2023 to Apr 2024