BURKE SHAUN A exercised options at GUARANTY FEDERAL BANCSHARES INC

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 1 exercise

BURKE SHAUN A

Filed: 4/5/2022ACC: 0001140361-22-013146

InsiderBURKE SHAUN ACIK 1283577

→

IssuerGUARANTY FEDERAL BANCSHARES INCCIK 1046203

Director

Since Feb 2020

-67K

Net shares

Net seller

$0.00

Total acquired

Open market trades

0B · 0S

Total transactions

16.39K acquired · 83.38K disposed

Non-Derivative Transactions6

Common Stock

Direct

M · Option Exercise

+8.19K

Price / share

—

Trade value

—

% of position

37.3%

4/1/2022

21.94K→30.14K

Common Stock

Direct

D · Disposition

−8.19K

Price / share

—

Trade value

—

% of position

27.2%

4/1/2022

30.14K→21.94K

Common Stock

Direct

D · Disposition

−21.94K

Price / share

—

Trade value

—

% of position

New position

4/1/2022

21.94K→0.00

Common Stock

Indirect

D · Disposition

−3.10K

Price / share

—

Trade value

—

% of position

New position

4/1/2022

3.10K→0.00

Common Stock

Indirect

D · Disposition

−32.50K

Price / share

—

Trade value

—

% of position

New position

4/1/2022

32.50K→0.00

Common Stock

Indirect

D · Disposition

−9.45K

Price / share

—

Trade value

—

% of position

New position

4/1/2022

9.45K→0.00

Total

Net shares

−67K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	4/1/2022	M · Option Exercise	+8.19K	—	—	37.3%	21.94K	30.14K
Common Stock Direct	4/1/2022	D · Disposition	−8.19K	—	—	27.2%	30.14K	21.94K
Common Stock Direct	4/1/2022	D · Disposition	−21.94K	—	—	New position	21.94K	0.00
Common Stock Indirect	4/1/2022	D · Disposition	−3.10K	—	—	New position	3.10K	0.00
Common Stock Indirect	4/1/2022	D · Disposition	−32.50K	—	—	New position	32.50K	0.00
Common Stock Indirect	4/1/2022	D · Disposition	−9.45K	—	—	New position	9.45K	0.00
Total			−67K		$0.00

Derivative Transactions2

Performance-Based Restricted Stock Units

Direct

A · Award

Converts to

Common Stock

8.19K shares

+8.19K

Strike price

Held after

8.19K

Exercisable

—

4/1/2022

Performance-Based Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

8.19K shares

−8.19K

Strike price

Held after

0.00

Exercisable

—

4/1/2022

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Performance-Based Restricted Stock Units Direct	Common Stock8.19K shares	4/1/2022	A · Award	+8.19K		—	8.19K
Performance-Based Restricted Stock Units Direct	Common Stock8.19K shares	4/1/2022	M · Option Exercise	−8.19K		—	0.00