|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 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 2270 (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 at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
| Class B Common Stock | Â | 11/30/2009 | Â | G(3) | Â | 1,688.658 | Â (7) | Â (8) | Class A Common Stock | $ 0 | 482,881.665 | By Teebank Family Limited Partnership (1) | ||
| Class B Common Stock | Â | 11/30/2009 | Â | G(4) | 17,614.668 | Â | Â (7) | Â (8) | Class A Common Stock | $ 0 | 500,496.333 | By Teebank Family Limited Partnership (1) | ||
| Class B Common Stock | Â | 11/30/2009 | Â | G(3) | Â | 302.1 | Â (7) | Â (8) | Class A Common Stock | $ 0 | 86,386.78 | By Jaytee Properties Limited Partnership (2) | ||
| Class B Common Stock | Â | 11/30/2009 | Â | G(4) | 3,151.238 | Â | Â (7) | Â (8) | Class A Common Stock | $ 0 | 89,538.018 | By Jaytee Properties Limited Partnership (2) | ||
| Class B Common Stock | Â | Â | Â | Â | Â | Â | Â (7) | Â (8) | Class A Common Stock | Â | 671,583 | By spouse | ||
| Class B Common Stock | Â | Â | Â | Â | Â | Â | Â (7) | Â (8) | Class A Common Stock | Â | 142,764 | Â | ||
| Class B Common Stock | Â | Â | Â | Â | Â | Â | Â (7) | Â (8) | Class A Common Stock | Â | 0.5 | By spouse through 401(k) Plan | ||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Trager Trust Jean S 601 WEST MARKET STREET LOUISVILLE, KY 40202 |
 |  X |  |  |
| Trager Jean S 601 WEST MARKET STREET LOUISVILLE, KY 40202 |
 |  X |  |  |
| /s/ Jean S. Trager | 02/12/2010 | |
| **Signature of Reporting Person | Date | |
| /s/ Jean S. Trager Trust by Jean S. Trager, Co-Trustee | 02/12/2010 | |
| **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) | Teebank Family Limited Partnership ("Teebank") is a family limited partnership of which the Jean S. Trager Trust is a general partner, Jean S. Trager is a limited partner and her husband, both individually and as trustee of irrevocable trusts for the benefit of his grandchildren, is a limited partner. The reporting persons are reporting the shares of the family limited partnership only to the extent of their pecuniary interest therein. |
| (2) | Jaytee Properties Limited Partnership ("Jaytee") is a family limited partnership of which the Jean S. Trager Trust is a general partner, Jean S. Trager is a limited partner and her husband, both individually and as trustee of irrevocable trusts for the benefit of his grandchildren, is a limited partner. The reporting persons are reporting the shares of the family limited partnership only to the extent of their pecuniary interest therein. |
| (3) | Gifts reported herein consisted of units representing an interest in the assets of Teebank and Jaytee, as applicable. |
| (4) | Gifts reported herein were to trusts for the benefit of the reporting person's grandchildren, of which the reporting person's spouse is the trustee. The gifts consisted of units representing an interest in the assets of Teebank and Jaytee, as applicable. |
| (5) | Includes 4,139.7620 shares of Class A Common Stock allocated under the ESOP to the reporting person's adult son, of which 150.4976 shares were allocated during 2009 as a result of forfeitures. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is a beneficial owner of such securities. Also includes 3,309.8810 shares of Class A Common Stock allocated to the reporting person's spouse under the ESOP, of which 119.9690 shares were allocated during 2009 as a result of forfeitures. |
| (6) | Conversion from Class B Common Stock to Class A Common Stock is on a share for share basis. |
| (7) | Immediate. |
| (8) | None. |