Statement of Changes in Beneficial Ownership (4)
February 23 2023 - 3:35PM
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
*
Funke Matthew T |
2. Issuer Name and Ticker or Trading Symbol
SOUTHERN MISSOURI BANCORP, INC.
[
SMBC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) PRESIDENT/CHIEF ADMIN OFFICER |
(Last)
(First)
(Middle)
2991 OAK GROVE RD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/21/2023 |
(Street)
POPLAR BLUFF, MO 63901
(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 | 2/21/2023 | | A(1) | | 1000 | A | $0 | 42450 | D | |
Common Stock | | | | | | | | 14904.93 (2) | I | 401(k) |
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 |
Stock Option (Right to Buy) | $46.94 | 2/21/2023 | | A | | 3000 | | (3) | 2/21/2033 | Common Stock | 3000 | $0 | 3000 | D | |
Stock Option (Right to Buy) | $53.82 | | | | | | | (4) | 2/3/2032 | Common Stock | 1500 | | 1500 | D | |
Stock Option (Right to Buy) | $34.91 | | | | | | | (5) | 2/10/2031 | Common Stock | 3000 | | 3000 | D | |
Stock Option (Right to Buy) | $37.40 | | | | | | | (6) | 2/18/2030 | Common Stock | 2000 | | 2000 | D | |
Stock Option (Right to Buy) | $34.35 | | | | | | | (7) | 1/4/2029 | Common Stock | 2000 | | 2000 | D | |
Stock Option (Right to Buy) | $37.31 | | | | | | | (8) | 1/16/2028 | Common Stock | 2000 | | 2000 | D | |
Explanation of Responses: |
(1) | The shares are scheduled to vest over a five-year period beginning February 9, 2024, with up to 20% of the shares vesting on that date and on each of the next four anniversaries of that date based on the extent to which the Company's annualized return on average assets over the 12 calendar quarters ending immediately prior to the applicable vesting date exceeds a threshold level. |
(2) | Reflects 401(k) contributions that have occurred since the date of the reporting person's last ownership report. |
(3) | The options become exercisable in 20% installments over a five year period with the first installment vesting on 2/21/24. Each remaining installment vests annually thereafter. |
(4) | The options become exercisable in 20% installments over a five year period with the first installment vesting on 2/3/23. Each remaining installment vests annually thereafter. |
(5) | The options become exercisable in 20% installments over a five year period with the first installment vesting on 2/10/22. Each remaining installment vests annually thereafter. |
(6) | The options become exercisable in 20% installments over a five year period with the first installment vesting on 2/18/21. Each remaining installment vests annually thereafter. |
(7) | The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/4/20. Each remaining installment vests annually thereafter. |
(8) | The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/16/19. Each remaining installment vests annually thereafter. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Funke Matthew T 2991 OAK GROVE RD. POPLAR BLUFF, MO 63901 |
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| PRESIDENT/CHIEF ADMIN OFFICER |
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Signatures
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/s/ Matthew T Funke | | 2/23/2023 |
**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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