Annual Statement of Changes in Beneficial Ownership (5)
15 Febrero 2022 - 12:14PM
Edgar (US Regulatory)
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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).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0362
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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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1. Name and Address of Reporting Person
*
Quist Adam George | 2. Issuer Name and Ticker or Trading SymbolSECURITY NATIONAL FINANCIAL CORP [SNFCA] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP and General Counsel |
(Last)
(First)
(Middle)
4057 SOUTH OLIVIA VIEW LANE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/3/2021 |
(Street)
SALT LAKE CITY, UT 84107
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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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. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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) |
Amount | (A) or (D) | Price |
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 Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $5.31 (1) | 12/2/2016 | | A | 13082 (1) | | 3/2/2017 | 12/2/2026 | Class A Common Stock | 13082 (1) | $5.31 (1) | 13082 (1) | D | |
Employee Stock Option (right to buy) | $4.01 (2) | 12/1/2017 | | A | 18689 (2) | | 3/1/2018 | 12/1/2027 | Class C Common Stock | 18689 (2) | $4.01 (2) | 18689 (2) | D | |
Employee Stock Option (right to buy) | $4.62 (3) | 11/30/2018 | | A | 23731 (3) | | 2/28/2019 | 11/30/2028 | Class C Common Stock | 23731 (3) | $4.62 (3) | 23731 (3) | D | |
Employee Stock Option (right to buy) | $4.81 (4) | 12/6/2019 | | A | 39552 (4) | | 3/6/2020 | 12/6/2029 | Class C Common Stock | 39552 (4) | $4.81 (4) | 39552 (4) | D | |
Employee Stock Option (right to buy) | $3.49 (5) | 3/27/2020 | | A | 37669 (5) | | 6/27/2020 | 3/27/2030 | Class C Common Stock | 37669 (5) | $3.49 (5) | 37669 (5) | D | |
Employee Stock Option (right to buy) | $8.62 (6) | 12/3/2021 | | A | 60000 (6) | | 3/3/2022 (6) | 12/3/2031 | Class C Common Stock | 60000 (6) | $8.62 (6) | 60000 (5) | D | |
Explanation of Responses: |
(1) | This option was granted on December 2, 2016 as an option for 10,000 shares of Class A Common Stock at an exercise price of $7.03 per share, but adjusted pursuant to the anti-dilution provisions of the 2013 Stock Option Plan to reflect 5% stock dividends paid on February 3, 2017, February 2, 2018, February 1 2019, and February 7, 2020; a 2 1/2% stock dividend paid on July 17, 2020; and a 5% stock dividend paid on July 16, 2021. |
(2) | This option was granted on December 1, 2017 as an option to purchase either 15,000 shares of Class A Common Stock at an exercise price of $5.05 per share or 15,000 shares of Class C Common Stock at an exercise price of $5.05 per share, or any combination thereof. This option reflects the reporting person's election to have an option for 15,000 shares of Class C Common Stock at an exercise price of $5.05 per share, but adjusted pursuant to the anti-dilution provisions of the 2013 Stock Option Plan to reflect 5% stock dividends paid on February 2, 2018, February 1 2019, and February 7, 2020; a 2 1/2% stock dividend paid on July 17, 2020; and a 5% stock dividend paid on July 16, 2021. |
(3) | This option was granted on November 30, 2018 as an option to purchase either 20,000 shares of Class A Common Stock at an exercise price of $5.52 per share or 20,000 shares of Class C Common Stock at an exercise price of $5.52 per share, or any combination thereof. This option reflects the reporting person's election to have an option for 20,000 shares of Class C Common Stock at an exercise price of $5.52 per share, but adjusted pursuant to the anti-dilution provisions of the 2013 Stock Option Plan to reflect 5% stock dividends paid on February 1, 2019 and February 7, 2020; a 2 1/2% stock dividend paid on July 17, 2020; and a 5% stock dividend paid on July 16, 2021. |
(4) | This option was granted on December 6, 2019 as an option to purchase either 35,000 shares of Class A Common Stock at an exercise price of $5.46 per share or 35,000 shares of Class C Common Stock at an exercise price of $5.46 per share, or any combination thereof. This option reflects the reporting person's election to have an option for 35,000 shares of Class C Common Stock at an exercise price of $5.46 per share, but adjusted pursuant to the anti-dilution provisions of the 2013 Stock Option Plan to reflect a 5% stock dividend paid on February 7, 2020; and a 2 1/2% stock dividend paid on July 17, 2020; and a 5% stock dividend paid on July 16, 2021. |
(5) | This option was granted on March 27, 2020 as an option to purchase either 35,000 shares of Class A Common Stock at an exercise price of $3.76 per share or 35,000 shares of Class C Common Stock at an exercise price of $3.76 per share, or any combination thereof. This option reflects the reporting person's election to have an option for 35,000 shares of Class C Common Stock at an exercise price of $3.76 per share, but adjusted pursuant to the anti-dilution provisions of the 2013 Stock Option Plan; and a 2 1/2% stock dividend paid on July 17, 2020; and a 5% stock dividend paid on July 16, 2021. |
(6) | This option was granted on December 3, 2021 as an option to purchase either 60,000 shares of Class A Common Stock at an exercise price of $8.62 per share or 60,000 shares of Class C Common Stock at an exercise price of $8.62 per share, or any combination thereof. This option reflects the reporting person's election to have an option for 60,000 shares of Class C Common Stock at an exercise price of $8.62 per share. This option vests in four quarterly installments of Class C Common Stock beginning on March 3, 2022, until such shares are fully vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Quist Adam George 4057 SOUTH OLIVIA VIEW LANE SALT LAKE CITY, UT 84107 | X |
| VP and General Counsel |
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Signatures
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/s/ Adam G. Quist | | 2/14/2022 |
**Signature of Reporting Person | Date |
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