Statement of Changes in Beneficial Ownership (4)
March 16 2020 - 4:44PM
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
*
DRAKE FRED L |
2. Issuer Name and Ticker or Trading Symbol
HBT Financial, Inc.
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HBT
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CHAIRMAN AND CEO |
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(Last)
(First)
(Middle)
C/O HBT FINANCIAL, INC., 401 N. HERSHEY ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/12/2020 |
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(Street)
BLOOMINGTON, IL 61704
(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)
___ Form filed by One Reporting Person
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X
_ 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, $0.01 par value | 3/12/2020 | | P | | 10000 | A | $12.19 (1) | 20000 | I | By the Fred L. Drake Revocable Trust |
| Common Stock, $0.01 par value | | | | | | | | 12000 | D |
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| Common Stock, $0.01 par value | | | | | | | | 17210400 | I | See Footnote (2) |
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 |
| Explanation of Responses: |
| (1) | The price reported in column 4 is a weighted average price. These shares were acquired in multiple transactions at prices ranging from $12.04 to $12.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (1) to this Form 4. |
| (2) | Consists of shares of common stock held by the Heartland Bancorp, Inc. Voting Trust U/A/D May 4, 2016 (the "Voting Trust"). Mr. Drake is the trustee of the Voting Trust and exercises sole voting and investment control over the common stock held thereby. Mr. Drake may be deemed to be the beneficial owner of securities held by the Voting Trust to the extent that he or his immediate family members are beneficiaries of such trust. Mr. Drake disclaims beneficial ownership of the shares held by the Voting Trust except to the extent of his pecuniary interest therein. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
DRAKE FRED L
C/O HBT FINANCIAL, INC.
401 N. HERSHEY ROAD
BLOOMINGTON, IL 61704 | X | X | CHAIRMAN AND CEO |
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HEARTLAND BANCORP, INC. VOTING TRUST U/A/D 5/4/2016
C/O HBT FINANCIAL, INC.
401 N. HERSHEY ROAD
BLOOMINGTON, IL 61704 |
| X |
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Signatures
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| /s/ Andrea E. Zurkamer, Attorney-in-Fact | | 3/16/2020 |
| **Signature of Reporting Person | Date |
| /s/ Andrea E. Zurkamer, attorney-in-fact for Heartland Bancorp, Inc. Voting Trust U/A/D 5/4/2016 | | 3/16/2020 |
| **Signature of Reporting Person | Date |
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