Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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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).

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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Filed By
Romeo and Dye's
Section 16 Filer
www.section16.net

1. Name and Address of Reporting Person*

Brooks David H.

2. Issuer Name and Ticker or Trading Symbol
S.Y. Bancorp, Inc. SYI

6. Relationship of Reporting Person(s)
to Issuer (Check all applicable)
X Director                                       10% Owner
X Officer (give title below)          Other (specify below)

Chairman & CEO                                

(Last)      (First)     (Middle)

4010 Fox Meadow Way
 

3. I.R.S. Identification Number
of Reporting Person,
if an entity (voluntary)

406-62-7565

4. Statement for
Month/Day/Year
2/14/2003

(Street)

Prospect, KY 40059

5. If Amendment,
Date of Original
(Month/Day/Year)
 		 7. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
    Form filed by More than One Reporting Person

(City)     (State)     (Zip)

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)

2. Trans-
action
Date
(Month/ Day/
Year)

2A. Deemed
Execution
Date,
if any
(Month/Day/
Year)

3. Trans-
action Code
(Instr. 8)

4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 & 5)

5. Amount of
Securities
Beneficially
Owned Follow-
ing Reported Transactions(s)
(Instr. 3 & 4)

6. Owner-
ship 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

2/14/2003

 

P

 

1,253

A

7.25

 

 

Common Stock

2/14/2003

 

P

 

4,000

A

14.50

12,721

D

 

Common Stock

 

 

 

 

 

22,828

I

Wife

Common Stock

 

 

 

 

 

 

 

7,457.990

I

ESOP Shares

Common Stock

 

 

 

 

 

 

 

1,145.9543

I

401k Shares

Common Stock

 

 

 

 

 

397.839

I

Trust (1)
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).

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 control number
FORM 4 (continued)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security

(Instr. 3)

2. Conver-
sion or
Exercise
Price of Derivative Security

3. Trans-
action Date

(Month/
Day/
Year)

3A. Deemed
Execution
Date,
if any
(Month/
Day/
Year)

4. Trans-
action
Code

(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4 & 5)

6. Date Exercisable
and Expiration
Date
(Month/Day/
Year)

7. Title and Amount of Underlying Securities
(Instr. 3 & 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of
Derivative
Securities
Beneficially
Owned
Following
Reported Transaction(s)
(Instr. 4)

10. Owner-
ship Form
of Deriv-
ative
Security:
Direct (D)
or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

V

(A)

(D)

Date Exer-cisable

Expira-
tion
Date

Title

Amount or Number of
Shares

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Option (Right to Buy)

.8615

 

 

 

 

 

 

Immed.

None

Common Stock

3,680

 

3,680

D

 

Option (Right to Buy)

7.25

2/14/2003

 

 

 

 

1,253

Immed.

1/10/05

Common Stock

1,253

 

-0-

D

 

Option (Right to Buy)

14.50

2/14/2003

 

 

 

 

4,000

Immed.

1/03/07

Common Stock

4,000

 

-0-

D

 

Option (Right to Buy)

20.50

 

 

 

 

 

 

Immed.

1/8/08

Common Stock

2,000

 

2,000

D

 

Option (Right to Buy)

23.9375

 

 

 

 

 

 

Immed.

1/12/09

Common Stock

10,200

 

10,200

D

 

Option (Right to Buy)

21.00

 

 

 

 

 

 

Immed.

1/07/10

Common Stock

11,500

 

11,500

D

 

Option (Right to Buy)

20.63

 

 

 

 

 

 

Immed.

12/21/10

Common Stock

16,000

 

16,000

D

 

Option (Right to Buy)

33.60

 

 

 

 

 

 

Immed.

12/27/11

Common Stock

12,000

 

12,000

D

 

Option IRight to Buy)

39.10

 

`

 

 

 

6/17/02

12/17/12

Common Stock

9,300

 

9,300

D

 

Explanation of Responses:

(1) Shares held in the deferred comp plan
  By: /s/ //David H. Brooks
              
**Signature of Reporting Person		 2/14/2003
Date

**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.

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