Westbrook Hunter's Form 4/A amendment
AmendedHomeTrust Bancshares, Inc.HTB · filed Feb 3, 2023
- Accession no.
- 0001104659-23-010352
- Filed
- Feb 3, 2023
- Trade date
- Jan 30-31, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 1, 2023
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $244.2K. It was filed 4 days after the trade.
This amendment replaces 0001104659-23-009101 (filed Feb 1, 2023).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Westbrook HunterCIK 0001553051 | Director, Officer (President and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 30, 2023 | Common Stock | MOption exerciseAcquired | +2,265 | $14.37 | +$32,548.05 | 65,348 | Direct | |
| Jan 30, 2023 | Common Stock | SSaleDisposed | −2,265 | $26.70F3 | −$60,475.5 | 63,083 | Direct | |
| Jan 31, 2023 | Common Stock | MOption exerciseAcquired | +6,889 | $14.37 | +$98,994.93 | 69,972 | Direct | |
| Jan 31, 2023 | Common Stock | SSaleDisposed | −6,369 | $26.64F4 | −$169,670.16 | 63,603 | Direct | |
| Jan 31, 2023 | Common Stock | SSaleDisposed | −520 | $27.00 | −$14,040 | 63,083 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 30, 2023 | Common Stock | MOption exerciseDisposed | −2,265 | $0.00 | $0 | 14,369 | Direct | |
| Jan 31, 2023 | Common Stock | MOption exerciseDisposed | −6,889 | $0.00 | $0 | 7,480 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The purpose of this amendment is to correct the original Form 4, which reported that on January 30, 2023, the reporting person acquired 4,250 shares upon the exercise of a stock option and sold those shares. As reflected in this amendment, the number of shares acquired and sold on January 30, 2023 was 2,265, not 4,250, and the information in Table I and Table II has been corrected accordingly.
- F2
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2022.
- F3
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.63 to $26.76, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3 and 4 to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.50 to $26.95, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
Represents stock option granted under Issuer's 2013 Omnibus Incentive Plan with the following vesting schedule: 20% increments on February 11, 2023, 2024, 2025, 2026 and 2027.
- F6
Represents stock option granted under Issuer's 2013 Omnibus Incentive Plan with the following vesting schedule: 20% increments on February 11, 2019, 2020, 2021, 2022 and 2023.
- F7
Represents stock option granted under Issuer's 2013 Omnibus Incentive Plan with the following vesting schedule: 20% increments on February 11, 2014, 2015, 2016, 2017 and 2018.