FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
REPUBLIC BANCORP INC /KY/ [ RBCAA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/31/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | ||||||
Class A Common Stock | 81,276 | D | ||||||||
Class A Common Stock | 12/31/2015 | W | V | 28,449.321(3) | A | $0(3) | 387,603.577 | I | By Jaytee Properties Limited Partnership(1) | |
Class A Common Stock | 12/31/2015 | W | V | 1,049,225.277(3) | A | $0(3) | 5,087,746.551 | I | By Teebank Family Limited Partnership(2) | |
Class A Common Stock | 12/31/2015 | W | V | 225(4) | A | $0(4) | 225 | I | By Trager Marital Trust(4) | |
Class A Common Stock | 7,478 | I | By Spouse(5) | |||||||
Class A Common Stock | 12,085 | I | By 401(k) Plan |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Class B Common Stock | (6) | (7) | (8) | Class A Common Stock | 17,014 | 17,014 | D | ||||||||
Class B Common Stock | (6) | 12/31/2015 | W | V | 6,374.582(3) | (7) | (8) | Class A Common Stock | 86,849.549(3) | $0(3) | 86,849.549 | I | By Jaytee Properties Limited Partnership(1) | ||
Class B Common Stock | (6) | 12/31/2015 | W | V | 137,569.661(3) | (7) | (8) | Class A Common Stock | 667,082.261(3) | $0(3) | 667,082.261 | I | By Teebank Family Limited Partnership(2) | ||
Class B Common Stock | (6) | 12/31/2015 | W | V | 671,583(4) | (7) | (8) | Class A Common Stock | 671,583(4) | $0(4) | 671,583 | I | By Trager Marital Trust(4) | ||
Class B Common Stock | (6) | (7) | (8) | Class A Common Stock | 1,214.5 | 1,214.5 | I | By 401(k) Plan |
Explanation of Responses: |
1. Jaytee Properties Limited Partnership ("Jaytee") is a family limited partnership. The Reporting Person is a co-General Partner of Jaytee. A trust (the "GP Trust") in which the Reporting Person and his mother are co-trustees is the other co-General Partner of Jaytee. The Reporting Person is trustee of multiple trusts (the "LP Trusts") for the benefit of the Reporting Person and certain of the Reporting Person's immediate family members. The LP Trusts are limited partners of Jaytee. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
2. Teebank Family Limited Partnership ("Teebank") is a family limited partnership. The Reporting Person and the GP Trust are co-General Partners of Teebank. The LP Trusts are limited partners of Teebank. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
3. On December 31, 2015, Teebank LP units and Jaytee LP units were transferred from a trust for the benefit of the Reporting Person's deceased father to one of the LP Trusts in accordance with the will of the Reporting Person's father. The number of securities reported as acquired reflects the proportionate number of securities attributable to the transferred LP units. |
4. On December 31, 2015, 225 shares of the Issuer's Class A Common Stock and 671,583 shares of the Issuer's Class B Common Stock held by the estate of the Reporting Person's father were transferred to Trager Marital Trust in accordance with the will of the Reporting Person's father. The Reporting Person is trustee, and the Reporting Person's mother is a beneficiary, of Trager Marital Trust. |
5. The Reporting Person disclaims beneficial ownership of these securities and the report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities. |
6. Class B Common Stock is immediately convertible into Class A Common Stock on a one share for one share basis. |
7. Immediate. |
8. None. |
/s/ Steven E. Trager | 01/11/2016 | |
** 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 Number. |