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ROGERS JAMES ACKER 4

Accession 0000909654-03-001094

CIK 0000934302other
View on SEC.govCompany Profile

Filed

Oct 22, 8:00 PM ET

Accepted

Oct 23, 5:03 PM ET

Size

23.7 KB

Accession

0000909654-03-001094

Insider Transaction Report

Form 4
Period: 2003-10-15
FIRST SOUTHERN BANCSHARES INC/DE(FSTH.PK)
ROGERS JAMES ACKER
DirectorChairman of the Board
Transactions
  • Other

    Common Stock Warrants (right-to-buy)

    2003-10-15+2,226→ 2,226 total(indirect: By IRA)
    Exercise: $0.01From: 2004-10-15Exp: 2006-10-15→ Common Stock (2,226 underlying)
  • Other

    Common Stock Warrants (right-to-buy)

    2003-10-15+546→ 546 total(indirect: By Spouse)
    Exercise: $0.01From: 2004-10-15Exp: 2006-10-15→ Common Stock (546 underlying)
  • Other

    Common Stock Warrants (right-to-buy)

    2003-10-15+238→ 238 total(indirect: By Spouse)
    Exercise: $0.01From: 2004-10-15Exp: 2006-10-15→ Common Stock (238 underlying)
  • Other

    Rights to Acquire Common Stock Warrants (r-t-b)

    2003-10-15+546→ 546 total(indirect: By Spouse)
    Exercise: $0.01From: 2005-10-15Exp: 2007-10-15→ Common Stock (546 underlying)
  • Other

    Rights to Acquire Common Stock Warrants (r-t-b)

    2003-10-15+2,226→ 2,226 total(indirect: By IRA)
    Exercise: $0.01From: 2005-10-15Exp: 2007-10-15→ Common Stock (2,226 underlying)
  • Other

    Series A Nonconvertible Preferred Stock

    2003-10-15−3,357→ 0 total(indirect: By IRA)
  • Other

    Series A Nonconvertible Preferred Stock

    2003-10-15−360→ 0 total(indirect: By Spouse)
  • Other

    Rights to Acquire Common Stock Warrants (r-t-b)

    2003-10-15+238→ 238 total(indirect: By Spouse)
    Exercise: $0.01From: 2005-10-15Exp: 2007-10-15→ Common Stock (238 underlying)
  • Other

    Series A Nonconvertible Preferred Stock

    2003-10-15−829→ 0 total(indirect: By Spouse)
Holdings

  • Common Stock

    (indirect: By Daughter)
    500

  • Incentive Stock Option (right to buy)

    Exercise: $11.75From: 1997-04-17Exp: 2007-04-17→ Common Stock (10,249 underlying)
    10,249

  • Common Stock Warrants (right-to-buy)

    Exercise: $1.00From: 2002-11-01Exp: 2005-11-01→ Common Stock (5,000 underlying)
    5,000

  • Common Stock

    (indirect: By Spouse)
    1,000

  • Common Stock

    32,460
Footnotes (10)
  • [F1]On October 15, 2003, the reporting person's IRA, exchanged 3,357 shares of the issuer's Series A Convertible Preferred Stock for units consisting of (i) capital notes, (ii) warrants and (iii) rights to acquire additional warrants, which are reported separately on this Form 4.
  • [F10]These options were granted under the First Southern Bancshares, Inc. 1996 Stock Option Plan, and are fully vested and exercisable.
  • [F2]On October 15, 2003, the reporting person's IRA, exchanged 3,357 shares of the issuer's Series A Convertible Preferred Stock for units consisting of (i) capital notes, (ii) warrants, which are reported separately on this Form 4, and (iii) these rights to acquire additional warrants.
  • [F3]Units consisting of (i) capital notes having a principal amount equal to the aggregate purchase price of the units, (ii) warrants and (iii) rights to acquire additional warrants were acquired in exchange for 3,357 shares of the issuer's Series A Convertible Preferred Stock, which for purposes of such exchange were valued at $23.76 per share.
  • [F4]On October 15, 2003, the reporting person's spouse, exchanged 829 shares of the issuer's Series A Convertible Preferred Stock for units consisting of (i) capital notes, (ii) warrants and (iii) rights to acquire additional warrants, which are reported separately on this Form 4.
  • [F5]On October 15, 2003, the reporting person's spouse, exchanged 829 shares of the issuer's Series A Convertible Preferred Stock for units consisting of (i) capital notes, (ii) warrants, which are reported separately on this Form 4, and (iii) these rights to acquire additional warrants.
  • [F6]Units consisting of (i) capital notes having a principal amount equal to the aggregate purchase price of the units, (ii) warrants and (iii) rights to acquire additional warrants were acquired in exchange for 829 shares of the issuer's Series A Convertible Preferred Stock, which for purposes of such exchange were valued at $23.76 per share.
  • [F7]On October 15, 2003, the reporting person's spouse's IRA, exchanged 360 shares of the issuer's Series A Convertible Preferred Stock for units consisting of (i) capital notes, (ii) warrants and (iii) rights to acquire additional warrants, which are reported separately on this Form 4.
  • [F8]On October 15, 2003, the reporting person's spouse, exchanged 360 shares of the issuer's Series A Convertible Preferred Stock for units consisting of (i) capital notes, (ii) warrants, which are reported separately on this Form 4, and (iii) these rights to acquire additional warrants.
  • [F9]Units consisting of (i) capital notes having a principal amount equal to the aggregate purchase price of the units, (ii) warrants and (iii) rights to acquire additional warrants were acquired in exchange for 360 shares of the issuer's Series A Convertible Preferred Stock, which for purposes of such exchange were valued at $23.76 per share.

Documents

1 file

Issuer

FIRST SOUTHERN BANCSHARES INC/DE

CIK 0000934302

→
Entity typeother

Related Parties

1
  • filerCIK 0001204956

Filing Metadata

Form type
4
Filed
Oct 22, 8:00 PM ET
Accepted
Oct 23, 5:03 PM ET
Size
23.7 KB
View on SEC.gov