Statement of Changes in Beneficial Ownership (4)
May 03 2016 - 4:10PM
Edgar (US Regulatory)
FORM 4
[
X
]
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
Estimated average burden
hours per response...
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
*
REEVES TIMOTHY K
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2. Issuer Name
and
Ticker or Trading Symbol
PULASKI FINANCIAL CORP
[
PULB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
12300 OLIVE BOULEVARD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/30/2016
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(Street)
ST. LOUIS, MO 63141
(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
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4/30/2016
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D
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11164.5600
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D
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$0
(1)
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0.0000
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D
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Common Stock
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4/30/2016
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D
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147.0000
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D
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$0
(1)
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0.0000
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I
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By Spouse as Custodian for Daughter 1
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Common Stock
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4/30/2016
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D
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147.0000
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D
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$0
(1)
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0.0000
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I
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By Spouse as Custodian for Daughter 2
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Common Stock
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4/30/2016
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D
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9841.0000
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D
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$0
(1)
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0.0000
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I
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By Trust
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$7.7000
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4/30/2016
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D
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4000.0000
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11/3/2008
(2)
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11/3/2018
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Common Stock
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4000.0000
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(3)
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0.0000
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D
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Explanation of Responses:
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(
1)
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Disposed of pursuant to the Agreement and Plan of Merger between Pulaski Financial Corp. ("Pulaski") and First Busey Corporation ("First Busey") dated as of December 3, 2015 pursuant to which Pulaski was merged into First Busey on April 30, 2016. Pursuant to the merger agreement, each issued and outstanding share of Pulaski common stock was converted into 0.79 shares of First Busey common stock with cash paid in lieu of fractional shares.
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(
2)
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Stock Options granted pursuant to the Pulaski Financial Corp. 2006 Long-Term Incentive Plan are fully vested and exercisable.
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(
3)
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Pursuant to the Agreement and Plan of Merger between Pulaski and First Busey dated as of December 3, 2015, each option to purchase Pulaski common stock outstanding and unexercised immediately prior to the effective time of the merger was assumed by First Busey and converted into an option to purchase shares of First Busey common stock. The number of First Busey options into which the Pulaski options were converted was determined by multiplying each Pulaski option by 0.79 (rounded down to the nearest whole share), at an exercise price per share of First Busey common stock equal to the exercise price for each share of Pulaski common stock by dividing the Pulaski exercise price by 0.79 (rounded up to the nearest whole cent).
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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REEVES TIMOTHY K
12300 OLIVE BOULEVARD
ST. LOUIS, MO 63141
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X
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Signatures
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Paul J. Milano, Power of Attorney
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5/3/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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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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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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