SEC Form 4
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*
STEFFENS GREG A

(Last) (First) (Middle)
SOUTHERN MISSOURI BANCORP, INC.
2991 OAK GROVE ROAD

(Street)
POPLAR BLUFF MO 63901

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SOUTHERN MISSOURI BANCORP, INC. [ SMBC ]
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 CEO
3. Date of Earliest Transaction (Month/Day/Year)
02/18/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
02/20/2020
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. 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
Common Stock 02/18/2020 A(1) 1,200 A $0 212,533(2) D
Common Stock 41,847.57(3) I By 401(k)
Common Stock 20,027 I Custodian for daughter
Common Stock 24,027 I Custodian for daughter
Common Stock 19,951 I By son
Common Stock 23,951 I By son
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Stock Option (Right to Buy) $37.31 (4) 01/16/2028 Common Stock 3,500 3,500 D
Stock Option (Right to Buy) $34.35 (5) 01/04/2029 Common Stock 3,500 3,500 D
Stock Option (Right to Buy) $37.4 02/18/2020 A 3,500 (6) 02/18/2030 Common Stock 3,500 $0 3,500 D
Explanation of Responses:
1. The shares are scheduled to vest over a five-year period beginning February 9, 2021, 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. The purpose of this amendment is to correct the amount of securities beneficially owned in this Item 5 that was reported incorrectly.
3. Reflects 401(k) contributions that have occurred since the date of the reporting person's last ownership report.
4. The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/16/2019. 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 1/4/2020. 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.
Remarks:
/s/ Greg A. Steffens 02/21/2020
** 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).
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