SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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).
1. Name and Address of Reporting Person*
Capps Kimberly A

(Last) (First) (Middle)
2991 OAK GROVE RD.

(Street)
POPLAR BLUFF MO 63901

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SOUTHERN MISSOURI BANCORP, INC. [ SMBC ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP-CHIEF OPERATIONS OFFICER
3. Date of Earliest Transaction (Month/Day/Year)
02/03/2022
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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 Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/03/2022 A(1) 400 A $0 67,700.05(2) D
Common Stock 50,252.98(3) I 401(k)
Common Stock 360 I Held by Daughter
Common Stock 360 I Held by Son
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $53.82 02/03/2022 A 1,500 (4) 02/03/2032 Common Stock 1,500 $0 1,500 D
Stock Option (Right to Buy) $37.31 (5) 01/16/2028 Common Stock 2,000 2,000 D
Stock Option (Right to Buy) $34.35 (6) 01/04/2029 Common Stock 2,000 2,000 D
Stock Option (Right to Buy) $37.4 (7) 02/18/2030 Common Stock 2,000 2,000 D
Stock Option (Right to Buy) $34.91 (8) 02/10/2031 Common Stock 3,000 3,000 D
Explanation of Responses:
1. The shares are scheduled to vest over a five-year period beginning February 9, 2023, with up to 20% of the shares vesting on that date and on each of the next four anniversaries of that date based on the extent to which the Company's annualized return on average assets over the 12 calendar quarters ending immediately prior to the applicable vesting date exceeds a threshold level.
2. The total amount beneficially owned also reflects 156.63 shares acquired through the Company's Dividend Reinvestment Plan.
3. Reflects 401(k) contributions that have occurred since the date of the reporting person's last ownership report.
4. The options become exercisable in 20% installments over a five year period with the first installment vesting on 2/3/23. Each remaining installment vests annually thereafter.
5. The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/16/19. Each remaining installment vests annually thereafter.
6. The options become exercisable in 20% installments over a five year period with the first installment vesting on 1/4/20. Each remaining installment vests annually thereafter.
7. The options become exercisable in 20% installments over a five year period with the first installment vesting on 2/18/21. Each remaining installment vests annually thereafter.
8. The options become exercisable in 20% installments over a five year period with the first installment vesting on 2/10/22. Each remaining installment vests annually thereafter.
/s/ Kimberly Capps 02/07/2022
** 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.