0001046203-20-000005.txt : 20200302 0001046203-20-000005.hdr.sgml : 20200302 20200302154150 ACCESSION NUMBER: 0001046203-20-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200228 FILED AS OF DATE: 20200302 DATE AS OF CHANGE: 20200302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BURKE SHAUN A CENTRAL INDEX KEY: 0001283577 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23325 FILM NUMBER: 20676573 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GUARANTY FEDERAL BANCSHARES INC CENTRAL INDEX KEY: 0001046203 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 431792717 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 BUSINESS PHONE: 4175204333 MAIL ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2020-02-28 0 0001046203 GUARANTY FEDERAL BANCSHARES INC GFED 0001283577 BURKE SHAUN A 855 E GRAFTON NIXA MO 65714 1 0 0 0 COMMON STOCK 2020-02-28 4 M 0 11944 23.5 A 11944 D COMMON STOCK 10000 D COMMON STOCK 3100 I Children COMMON STOCK 32499 I Co-TTEE COMMON STOCK 9453 I IRA Performance Based Restricted Stock Units 2020-02-28 4 M 0 18280 D 2020-02-28 COMMON STOCK 18280 0 D Each Performance-Based Restricted Stock Unit (RSU) represents the right to receive, following vesting, 100% of one share of Guaranty Federal Bancshares, Inc. (GFED) common stock. The resulting number of shares of GFED common stock acquired upon vesting of the RSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year period beginning on the RSU grant date, 3/29/2017, and ending on 12/31/2019. Unless earlier forfeited, under the terms of the RSU agreement, each RSU vests and converts in to 100% of one share of GFED common stock on the vesting date of 12/31/2019. The conversion rate of the Performance-Based RSUs was 65.33%. Upon conversion of the RSUs, the Reporting Person received 11,944 shares of common stock, as reported above in Table I. Shaun A. Burke 2020-02-28