SEC Form 4/A · accession 0001104659-18-035714
Guaranty Bancorp · GBNK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Voting Common StockF1 | May 7, 2018 | A | 1,022 | $0.00 | A | 10,878 | I | By Castle Creek Advisors IV LP |
| Voting Common Stock | holding | — | — | — | 4,224 | D | ||
| Voting Common Stock | holding | — | — | — | 76,142 | I | By Self as Trustee of the Eggemeyer Family Trust | |
| Voting Common Stock | holding | — | — | — | 48,000 | I | By IRA |
Table II — derivative securities
Explanation of responses
- F1Represents shares of restricted stock awarded on May 7, 2018, which are scheduled to vest in full on May 7, 2019. Such shares were issued to Castle Creek Advisors IV, LLC on behalf of the reporting person in the reporting person's capacity as a director of the Issuer.
Remarks
The reporting person is a managing principal of Castle Creek Capital IV LLC, the sole general partner of Castle Creek Capital Partners IV, LP ("Fund IV"). Fund IV owns 1,448,849 shares of the Issuer's common stock (the "Fund IV Shares"). The reporting person disclaims beneficial ownership of the Fund IV Shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of Fund IV Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. This amendment is being filed to remove the Fund IV Shares that were previously reported in Table I on the Form 4 filed on May 9, 2018.