FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 10/14/2009 |
3. Issuer Name and Ticker or Trading Symbol
CITIZENS FIRST CORP [ CZFC ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, no par value | 31,000 | I | Owned by Porter Bancorp, Inc.(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options to purchase Common Stock(1) | (2) | 07/29/2010 | Common Stock | 311,603 | $9 | I | Owned by Porter Bancorp, Inc.(1) |
6.5% Cumulative Convertible Preferred Stock | 07/16/2007(3) | (3) | Common Stock | 50,058.6(3) | (3) | I | Owned by Porter Bancorp, Inc.(1) |
Explanation of Responses: |
1. Mr. Porter is Chairman of the Board and General Counsel of Porter Bancorp, Inc. ("Porter"), and is the beneficial owner of 35.0% of Porter's common stock. |
2. Exercise of the options by Porter is subject to regulatory approval of ownership of more than 5% of the Issuer's Common Stock by the Kentucky Department of Financial Institutions and the Board of Governors of the Federal Reserve. |
3. The 22 shares of Cumulative Convertible Preferred stock, $31,992 stated value per share, are convertible at the holder's election into Common Stock at $14.06 per share and there is no expiration date. |
/s/ C. Bradford Harris, Attorney in Fact for J. Chester Porter | 10/26/2009 | |
** 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 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). | ||
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. |