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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
FIRST OAK BROOK BANCSHARES INC [ FOBB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/03/2004 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 12/03/2004 | M | 17,643(3) | A | $33.04 | 47,148(1) | D | |||
Common Stock | 12/03/2004 | M | 13,431(3) | A | $33.04 | 60,579(1) | D | |||
Common Stock | 12/03/2004 | M | 16,306(3) | A | $33.04 | 76,885(1) | D | |||
Common Stock | 12/03/2004 | M | 4,880(3) | A | $33.04 | 81,765(1) | D | |||
Common Stock | 12/03/2004 | M | 6,687(3) | A | $33.04 | 88,452(1) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Employee Stock Options (Right to Buy) | $5.5 | 12/03/2004 | M | 30,000 | 12/21/1995(2) | 12/21/2004 | Common | 30,000 | (4) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $6.833 | 12/03/2004 | M | 24,000 | 12/20/1996(2) | 12/20/2005 | Common | 24,000 | (4) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $7.587 | 12/03/2004 | M | 30,000 | 12/27/1997(2) | 12/27/2006 | Common | 30,000 | (4) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $14 | 12/03/2004 | M | 12,000 | 01/21/1999(2) | 01/21/2008 | Common | 12,000 | (4) | 0 | D | ||||
Employee Stock Options (Right to Buy) | $12.167 | 12/03/2004 | M | 15,000 | 01/26/2000(2) | 01/26/2009 | Common | 30,000 | (4) | 15,000 | D | ||||
Employee Stock Options (Right to Buy) | $10.75 | 01/25/2001(2) | 01/25/2010 | Common | 5,400 | 5,400 | D | ||||||||
Employee Stock Options (Right to Buy) | $12.083 | 01/23/2002(2) | 01/23/2011 | Common | 18,000 | 18,000 | D | ||||||||
Employee Stock Options (Right to Buy) | $18 | 01/29/2003(2) | 01/29/2012 | Common | 22,500 | 22,500 | D | ||||||||
Employee Stock Options (Right to Buy) | $20.327 | 01/21/2004(2) | 01/21/2013 | Common | 9,000 | 9,000 | D | ||||||||
Employee Stock Options (Right to Buy) | $33.7 | 01/27/2005(2) | 01/27/2014 | Common | 9,000 | 9,000 | D |
Explanation of Responses: |
1. Excludes 1,019,322 shares of common stock held by the Reporting Person's spouse, over which the Reporting Person disclaims any beneficial interest, voting and investment power. |
2. Options are exercisable in 33.33% increments each year beginning one year after date of grant. |
3. These shares represent the net amount of common stock received by the Reporting Person after exercising stock options for the right to buy shares of the Issuer. The difference between the total amount of shares represented by the option to buy and the net amount of shares actually received by the Reporting Person was used to pay the exercise price and any taxes due in connection with the exercise. All fractional shares resulting from the exercise of the option was returned to the Reporting Person in the form of cash. |
4. This transaction represents the exercise of a derivative security; as such, the exercise price has been reported in column 2 of table II. |
Eugene P. Heytow | 12/06/2004 | |
By: Lorenzo Pate, his attorney-in-fact | 12/06/2004 | |
** 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. |