SEC Form 5
FORM 5 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol REPUBLIC BANCORP INC /KY/ [ RBCAA ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year) 12/31/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Class A Common Stock(4) | 01/31/2018 | G | 1,000(2)(3) | D | $0.00 | 70,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 04/30/2018 | G | 1,000(2)(3) | D | $0.00 | 69,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 07/31/2018 | G | 1,000(2)(3) | D | $0.00 | 68,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 10/31/2018 | G | 1,000(2)(3) | D | $0.00 | 67,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 01/31/2019 | G | 1,000(2)(3) | D | $0.00 | 66,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 04/30/2019 | G | 1,000(2)(3) | D | $0.00 | 65,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 07/31/2019 | G | 1,000(2)(3) | D | $0.00 | 64,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 10/31/2019 | G | 1,000(2)(3) | D | $0.00 | 63,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 02/05/2020 | G | 1,000(2)(3) | D | $0.0 | 62,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 04/30/2020 | G | 1,000(2)(3) | D | $0.00 | 61,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 07/31/2020 | G | 1,000(2)(3) | D | $0.00 | 60,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 10/30/2020 | G | 1,000(2)(3) | D | $0.00 | 59,367 | I | By Trager Family Irrevocable Trust(1)(2) | |||||||
Class A Common Stock(4) | 11/30/2021 | G | 1,000 | D | $0.00 | 60,420 | I | By Trager Family Irrevocable Trust(1) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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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 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: 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 |
Explanation of Responses: |
1. Trager Family Irrevocable Trust (the "Trust") is a family trust of which the Reporting Person is a co-trustee and a beneficiary. |
2. Following the death of the Reporting Person's mother, the Trust was divided into two separate sub-trusts, one for the benefit of the Reporting Person and the other for the benefit of the Reporting Person's sister. Per the Trust Agreement, the Reporting Person is co-trustee of both sub-trusts. Around the time of the creation of the sub-trusts, the Reporting Person delegated authority to his sister, the other co-trustee, to transact within the sub-trust for her benefit. At that time, the Reporting Person believed he had relinquished beneficial ownership over the Issuer shares held in that sub-trust; however, he now believes he is required to report beneficial ownership of Issuer shares held in that sub-trust. |
3. The Reporting Person's sister has regularly withdrawn shares from her sub-trust since its creation. The Reporting Person did not take any action in and was only recently made aware of these withdrawals. |
4. Filing 2 of 2. |
/s/ Scott Trager | 02/14/2022 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |