Amended Statement of Changes in Beneficial Ownership (4/a)
July 10 2020 - 05:10PM
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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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
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WILSON BRUCE N |
2. Issuer Name and Ticker or Trading Symbol
FIRST US BANCSHARES INC
[
FUSB
]
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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)
3291 US HIGHWAY 280 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/30/2020 |
(Street)
BIRMINGHAM, AL 35243
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
7/2/2020 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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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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 |
Phantom Stock Units | (1) | 6/30/2020 | | A | | 539.82 (2) | | (3) | (3) | Common Stock | 539.82 (2) | $6.99 | 16929.66 | D | |
Explanation of Responses: |
(1) | The units convert to common stock on a 1-for-1 basis. |
(2) | Includes 67.71 shares attributable to quarterly dividends accrued under the First US Bancshares, Inc. Non-Employee Directors' Deferred Compensation Plan. |
(3) | The phantom stock units were accrued under the First US Bancshares, Inc. Non-Employee Directors' Deferred Compensation Plan and are to be settled in common stock at the end of the deferral period. |
Remarks: The reporting person's Form 4 filed on July 2, 2020 reported the acquisition of phantom stock units as of June 30, 2020 based on a price of $6.90, the Nasdaq Official Closing Price on that date. Subsequent to filing, the issuer was informed by Nasdaq that, because only odd lot trading occurred on June 30, 2020, the consolidated closing price on that date was actually $6.99, based on the round lot trading that occurred on the prior trading day. As a result, the number of phantom stock units acquired as of June 30, 2020 (Table II, Columns 5 and 7), the price (Table II, Column 8) and the total (Table II, column 9) have been amended accordingly herein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WILSON BRUCE N 3291 US HIGHWAY 280 BIRMINGHAM, AL 35243 | X |
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Signatures
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/s/Beverly J. Dozier, by power of attorney | | 7/10/2020 |
**Signature of Reporting Person | Date |
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