Statement of Changes in Beneficial Ownership (4)
29 November 2017 - 5:26PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Singletary R. Bruce
|
2. Issuer Name
and
Ticker or Trading Symbol
Capital Bank Financial Corp.
[
CBF
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Credit Officer
|
(Last)
(First)
(Middle)
C/O CAPITAL BANK FINANCIAL CORP., 4725 PIEDMONT ROW DRIVE, SUITE 110
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/28/2017
|
(Street)
CHARLOTTE, NC 28210
(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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
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)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A Common Stock, par value $0.01 per share
|
11/28/2017
|
|
M
|
|
312778
|
A
|
$20.00
|
468282
|
D
|
|
Class A Common Stock, par value $0.01 per share
|
11/28/2017
|
|
M
|
|
139522
|
A
|
$20.00
|
607804
|
D
|
|
Class A Common Stock, par value $0.01 per share
|
11/28/2017
|
|
F
|
|
319729
|
D
|
$40.10
|
288075
(1)
|
D
|
|
Restricted Common Stock
|
|
|
|
|
|
|
|
18823
(2)
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
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 of Derivative Security: 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
|
Common Stock Option (Right to Buy)
(3)
|
$20.00
|
11/28/2017
|
|
M
|
|
|
312778
|
(3)
|
12/22/2019
|
Class A Common Stock, par value $0.01 per share
|
312778
|
$0.00
|
0
|
D
|
|
Common Stock Option (Right to Buy)
(4)
|
$20.00
|
11/28/2017
|
|
M
|
|
|
139552
|
(4)
|
1/12/2022
|
Class A Common Stock, par value $0.01 per share
|
139552
|
$0.00
|
0
|
D
|
|
Explanation of Responses:
|
(1)
|
An aggregate of 319,729 shares of Class A Common Stock, par value $0.01 per share, otherwise due to the Reporting Person as a result of the stock options exercises described herein were withheld to cover the exercise cost as well as applicable taxes.
|
(2)
|
Shares of Restricted Common Stock vest ratably over a three year period in annual installments.
|
(3)
|
Consists of stock options granted in March 2011. One half of the stock options granted in March 2011 vested on December 22, 2011 and the other half of the stock options granted in March 2011 vested on December 22, 2012.
|
(4)
|
Consists of stock options granted in January 2012. One half of the stock options granted in January 2012 vested on January 12, 2012 and the other half of the stock options granted in January 2012 vested on January 12, 2013.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Singletary R. Bruce
C/O CAPITAL BANK FINANCIAL CORP.
4725 PIEDMONT ROW DRIVE, SUITE 110
CHARLOTTE, NC 28210
|
|
|
Chief Credit Officer
|
|
Signatures
|
/s/ Christopher G. Marshall as Attorney-in-Fact
|
|
11/28/2017
|
**
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 control number.
|
Capital Bank Financial Corp. (MM) (NASDAQ:CBF)
Historical Stock Chart
Von Mai 2024 bis Jun 2024
Capital Bank Financial Corp. (MM) (NASDAQ:CBF)
Historical Stock Chart
Von Jun 2023 bis Jun 2024
Echtzeit-Nachrichten über Capital Bank Financial Corp. (MM) (NASDAQ): 0 Nachrichtenartikel
Weitere Capital Bank Financial Corp. News-Artikel