SEC Form 4 · accession 0001179110-15-007306
Guaranty Bancorp · GBNK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M Eggemeyer III
Director
Period of report
May 6, 2015
Accepted (ET)
May 7, 2015 · 6:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001324410
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Voting Common StockF1,F2 | May 6, 2015 | A | 1,564 | $0.00 | A | 7,143 | I | By Castle Creek Advisors IV LLC |
| Voting Common Stock | holding | — | — | — | 4,224 | D | ||
| Voting Common StockF3 | holding | — | — | — | 1,429,849 | I | By Castle Creek Capital Partners IV, LP | |
| 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 | |
| Non-Voting Common StockF3 | holding | — | — | — | 1,019,000 | I | By Castle Creek Capital Partners IV, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of restricted stock awarded on May 6, 2015, which are scheduled to vest in full on the earlier of the day immediately preceding the issuer's 2016 Annual Meeting of Stockholders or June 30, 2016.
- F2Mr. Eggemeyer is a managing principal of Castle Creek Advisors IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Advisors IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.Castle Creek Advisors IV LLC is the advisor to Castle Creek Partners IV, LP.
- F3Castle Creek Capital IV LLC is the sole general partner of Castle Creek Capital Partners IV, LP ("Fund IV"). Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. Mr. Eggemeyer is a controlling person of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.