SEC Form 4 · accession 0001058867-18-000021
GUARANTY BANCSHARES INC /TX/ · GNTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirk L. Lee
Officer — President · Director
Period of report
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 11:46 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001058867
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 9, 2018 | S | 1,500 | $35.01 | D | 24,378 | D | |
| Common StockF1 | Mar 9, 2018 | S | 1,300 | $35.10 | D | 23,078 | D | |
| Common StockF1 | Mar 9, 2018 | S | 899 | $35.0406 | D | 22,179 | D | |
| Common StockF1 | Mar 9, 2018 | S | 106 | $35.0447 | D | 22,073 | D | |
| Common StockF1 | Mar 9, 2018 | S | 627 | $35.0777 | D | 21,446 | D | |
| Common StockF1 | Mar 12, 2018 | S | 167 | $35.04 | D | 21,279 | D | |
| Common StockF1 | Mar 12, 2018 | S | 167 | $35.04 | D | 21,112 | D | |
| Common StockF2 | holding | — | — | — | 64,000 | D | ||
| Common Stock | holding | — | — | — | 95,121 | I | By Issuer KSOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Held through Individual Retirement Account. On March 8, 2018, Kirk Lee transferred 25,878 shares of common stock allocated to his employer stock account in the Issuer's Employee Stock Ownership Plan with 401(k) Provisions ("KSOP") to an individual retirement account maintained by Guaranty Bank & Trust, N.A. as IRA custodian for Kirk Lee, through a rollover transaction permitted by the terms of the Issuer's KSOP. All sales of common stock reported on this Form 4 relate to sales of shares held through Mr. Lee's individual retirement account.
- F2Shares held jointly by Mr. Lee and his spouse.