Statement of Changes in Beneficial Ownership (4)
October 18 2019 - 4:37PM
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
OMB Number:
3235-0287
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0.5
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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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CARTER JAMES LANCE |
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 _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and COO
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(Last)
(First)
(Middle)
C/O HBT FINANCIAL, INC., 401 N. HERSHEY ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/27/2019
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(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 par value
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7/27/2019
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X(1)
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6120
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A
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$6.86
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66920
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D
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Common Stock, $0.01 par value
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7/27/2019
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S(1)
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6120
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D
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$25.75
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60800
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D
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Common Stock, $0.01 par value
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10/16/2019
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P
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20000 (2)
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A
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$16.00
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80800
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Appreciation Right
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$6.86
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7/27/2019
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X (1)
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6120
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12/31/2009
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3/1/2020
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Common Stock
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6120
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$0
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0
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D
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Stock Appreciation Right
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$16.32
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9/1/2019
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A (3)
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6120
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(3)
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9/1/2029
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Common Stock
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6120
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$0
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6120
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D
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Explanation of Responses:
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(1)
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Represents the exercise of Stock Appreciation Rights ("SARs") granted pursuant to the Stock Appreciation Rights Agreement, dated as of March 1, 2005, by and between the Issuer and the reporting person. Certain of these transactions may be matchable transactions under Section 16(b) of the Exchange Act. The reporting person has agreed to surrender the full amount of any recoverable profits to the Issuer.
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(2)
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Represents shares purchased through the Issuer's directed share program in connection with its initial public offering.
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(3)
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Represents an award of SARs pursuant to the HBT Financial, Inc. Omnibus Incentive Plan. The SARs are fully vested. Upon exercise, the SARs will be settled in cash.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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CARTER JAMES LANCE C/O HBT FINANCIAL, INC. 401 N. HERSHEY ROAD BLOOMINGTON, IL 61704
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X
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President and COO
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Signatures
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/s/ Andrea E. Zurkamer, attorney-in-fact
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10/18/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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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