FORM 144

 

NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

OMB APPROVAL

OMB Number:             3235-0101
Expires:             December 31, 2017
Estimated average burden
hours per response. . . . . . . . . 1.00

SEC USE ONLY

DOCUMENT SEQUENCE NO.

CUSIP NUMBER

WORK LOCATION

1  (d)  ADDRESS OF ISSUER                                               STREET                                            CITY                                         STATE                ZIP CODE

 

                                                              500 West Main Street                     Louisville                                KY                  40202

(e)  TELEPHONE

AREA CODE
502

NUMBER
580-1000

2  (a)  NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
Timothy S. Huval

(b)  RELATIONSHIP TO
      ISSUER
Senior Vice President  and Chief Human Resources Officer

 500 W. Main Street         Louisville    KY         40202

INSTRUCTION:   The person filing this notice should contact the issuer to obtain the I.R.S. identification Number and the S.E.C. File Number

3 (a)

Title of the Class of Securities
To Be Sold

Name and Address of Each Broker Through Whom the Securities Are To Be Offered or Each Market Maker who is Acquiring the Securities

SEC USE ONLY

(c)

(d)

Aggregate
Market
Value
(See Instr. 3(d)

(e)

(f)

Approximate Date of Sale
(See Instr. 3(f))
(MO.  DAY  YR.)

(g)

 

Broker-Dealer
File Number

Common

Charles Schwab & Co., Inc.

9899 Schwab Way

Lone Tree, CO 80124

 

1,382

$350,502.84

based on FMV on

12/15/2017 of $253.62

142,860,096 as of 9/30/2017

12/19/2017

NYSE

 

INSTRUCTIONS:
1. (a)  Name of Issuer
    (b)  Issuer's I.R.S. Identification Number
    (c)  Issuer's S.E.C. file number, if any
    (d)  Issuer's address, including zip code
    (e)  Issuer's telephone number, including area code

3. (a)  Title of the class of securities to be sold
     (b)  Name and Address of each broker through whom the securities are intended to be sold
     (c)  Number of shares or other units to be sold (if debt securities, give the aggregate face amount)

     (d)  Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
 (e)  Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown
        by the most recent report or statement published by the issuer
 (f)  Approximate date on which the securities are to be sold
 (g)  Name of each securities exchange, if any, on which the securities are intended to be sold

2. (a)  Name of person for whose account the securities are to be sold

     (b)  Such person's relationship to the issuer (e.g., officer, director, 10%
            stockholder, or member of immediate family of any of the foregoing)
    (c)   Such person's address, including zip code

Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.                       

SEC 1147 (08-07)

Title of
the Class

Date you
Acquired

Nature of Acquisition Transaction

Name of the Person from Whom Acquired
(if gift, also give date donor acquired

Amount of
Securities Acquired

Date of
Payment

Nature of Payment

Common

 

12/15/2017

 

Restricted Stock Units

 

Issuer

 

1,382

 

N/A

 

N/A

 

INSTRUCTIONS:

If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given.  If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Name and Address of Seller

Title of Securities Sold

Date of Sale

Amount of
Securities Sold

Gross Proceeds

REMARKS:

INSTRUCTIONS:

ATTENTION:

See the definition of "person" in paragraph (a) of Rule 144.  Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition.  In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the issuer of the securities to be sold which has not been publicly disclosed. If each person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

 

DATE OF NOTICE

DATE OF PLAN OR GIVING OF INSTRUCTION,

IF RELYING ON RULE 10B5-1

This notice shall be signed by the person for whose account the securities are to be sold.  At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.

    ATTENTION:    Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

SEC 1147 (02-08)