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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
| 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 Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Class B Common Stock | (7) | 06/30/2013 | S | 0 (3) (4) | (8) | (9) | Class A Common Stock | 0 (3) (4) | (3) (4) | 709,057.311 (3) (4) | I | By Teebank Family Limited Partnership (2) | |||
| Class B Common Stock | (7) | (8) | (9) | Class A Common Stock | 0 | 86,849.547 | I | By Jaytee Properties Limited Partnership (1) | |||||||
| Class B Common Stock | (7) | (8) | (9) | Class A Common Stock | 0 | 17,014 | D | ||||||||
| Class B Common Stock | (7) | (8) | (9) | Class A Common Stock | 0 | 1,214.5 | I | By 401(k) Plan | |||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| TRAGER STEVE 601 WEST MARKET STREET LOUISVILLE, KY 40202 |
X | X | Chairman and CEO | |
| /s/ Steve Trager | 07/02/2013 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | Jaytee Properties Limited Partnership is a family limited partnership of which the reporting person is a general partner and a limited partner and of which trusts for the benefit of, among others, the reporting person and the reporting person's 2 children are limited partners. 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 of which the reporting person is a general partner and a limited partner and of which trusts for the benefit of, among others, the reporting person and the reporting person's 2 children are limited partners. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| (3) | The reporting person is sole trustee and a beneficiary of a trust ("Trust 1") that holds Teebank limited partnership interests. The reporting person is also sole trustee of two additional trusts, the sole beneficiaries of which are the reporting persons' 2 children ("Trust 2" and "Trust 3," respectively). Effective 06/30/13, Trust 1 sold $2.625 million in Teebank limited partnership interests to each of Trust 2 and Trust 3. Effective on that same date, Trust 1 sold an additional $5.25 million worth of Teebank limited partnership interests to trusts in which the reporting person does not have any pecuniary interest. |
| (4) | The amount of securities disclosed in Table 1, Column 5 and Table II, Column 9 is the number beneficially owned immediately before the transaction which is the subject of this report. As of the reporting date, Teebank has engaged a valuation firm to conduct an appraisal of its limited partnership units. The reporting person expects to file an amendment to this report upon receipt of the appraisal to update the amount of securities disclosed at Table 1, Column 5 and Table II, Column 9, and to disclose the number and value of the issuer securities that were sold to the trusts in which the reporting person does not have a pecuniary interest. The reporting person will continue to report his pecuniary interest in the shares represented by the Teebank limited partnership interests sold to Trust 2 and Trust 3. |
| (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) | On December 31, 2012, the issuer dissolved its ESOP and rolled 7,428.277 shares (that were previously reported as being held indirectly through the ESOP) into the reporting person's 401(k). |
| (7) | Conversion from Class B Common Stock to Class A Common Stock is on a share-for-share basis. |
| (8) | Immediate. |
| (9) | None. |