Statement of Changes in Beneficial Ownership (4)
November 13 2020 - 6:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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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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
*
BARLOW JAMES R |
2. Issuer Name and Ticker or Trading Symbol
Home Federal Bancorp, Inc. of Louisiana
[
HFBL
]
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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)
Chairman, President & CEO*** |
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(Last)
(First)
(Middle)
C/O HOME FEDERAL BANK, 222 FLORIDA STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/11/2020 |
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(Street)
SHREVEPORT, LA 71105
(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 | 11/11/2020 | | A(1) | | 15000 | A | $0 | 38791 (2) | D | |
| Common Stock | | | | | | | | 14230 | I | By IRA |
| Common Stock | | | | | | | | 550 | I | By Spouse |
| Common Stock | | | | | | | | 16503.68 (3) | I | By 401(k) Plan |
| Common Stock | | | | | | | | 8558.0728 | I | By ESOP |
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 |
| Employee Stock Option (Right to Buy) | $23.72 | 11/11/2020 | | A | | 10000 | | (4) | 11/11/2030 | Common Stock | 10000 | $0 | 10000 | D | |
| Employee Stock Option (Right to Buy) | $23.00 | | | | | | | 10/26/2020 (5) | 10/26/2025 | Common Stock | 10000 | | 10000 | D | |
| Employee Stock Option (Right to Buy) | $18.92 | | | | | | | 7/31/2019 (6) | 7/31/2024 | Common Stock | 2133 | | 2133 | D | |
| Employee Stock Option (Right to Buy) | $14.70 | | | | | | | 1/31/2017 (7) | 1/31/2022 | Common Stock | 48630 | | 48630 | D | |
| Explanation of Responses: |
| (1) | Represents the grant of shares pursuant to the 2019 Stock Incentive Plan that vest 20% per year commencing on November 11, 2021. |
| (2) | Includes 6,473 shares held jointly with the reporting person's spouse. |
| (3) | Reflects units which represent share interests and a reserve of cash in the Issuer's 401(k) Plan. Includes units acquired in the Home Federal Bank Employees' Savings and Profit Sharing Plan and Trust since the last filed Form 4, based on a report dated November 12, 2020. |
| (4) | The options vest at a rate of 20% per year commencing on November 11, 2021. |
| (5) | The options vested at a rate of 20% per year commencing on October 26, 2016 and were fully vested and exercisable as of October 26, 2020. |
| (6) | The options vested at a rate of 20% per year commencing on July 31, 2015 and were fully vested and exercisable as of July 31, 2019. |
| (7) | The options vested at a rate of 20% per year commencing on January 31, 2013 and were fully vested and exercisable as of January 31, 2017. |
Remarks:
*** Also serves as Chairman of the Board, President and Chief Executive Officer of the Issuer's wholly owned subsidiary, Home Federal Bank. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BARLOW JAMES R
C/O HOME FEDERAL BANK
222 FLORIDA STREET
SHREVEPORT, LA 71105 | X |
| Chairman, President & CEO*** |
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Signatures
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| /s/Glen W. Brown by P.O.A. for James R. Barlow | | 11/13/2020 |
| **Signature of Reporting Person | Date |
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