UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class B Common Stock | Â (4) | Â (5) | Class A Common Stock | 465,714.926 | $ (6) | I | By Teebank Family Limited Partnership (1) |
Class B Common Stock | Â (4) | Â (5) | Class A Common Stock | 83,315.707 | $ (6) | I | By Jaytee Properties Limited Partnership (2) |
Class B Common Stock | Â (4) | Â (5) | Class A Common Stock | 638,448 | $ (6) | I | By spouse |
Class B Common Stock | Â (4) | Â (5) | Class A Common Stock | 135,966 | $ (6) | D | Â |
Class B Common Stock | Â (4) | Â (5) | Class A Common Stock | 1,157 | $ (6) | I | 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 | 08/16/2006 | |
**Signature of Reporting Person | Date | |
/s/ Jean S. Trager Trust by Jean S. Trager, Co-Trustee | 08/16/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 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 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 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 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) | Includes 131,640.0464 unallocated shares of Class A Common Stock held by the Issuer's ESOP, of which the reporting person's husband serves as a member of the Administrative Committee, and 2,503.3836 shares of Class A Common Stock allocated under the ESOP to the reporting person's adult son. 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 2,161.0515 shares of Class A Common Stock allocated to the reporting person's husband under the ESOP. |
(4) | Immediate. |
(5) | None. |
(6) | Conversion is on a share for share basis. |