SEC Form 4 · accession 0001179110-16-032363
Guaranty Bancorp · GBNK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M Eggemeyer III
Director
Period of report
Dec 2, 2016
Accepted (ET)
Dec 5, 2016 · 2:35 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Non-Voting Common Stock | Dec 2, 2016 | J | 1,019,000 | $0.00 | D | 0 | I | By Castle Creek Capital Partners IV, LP |
| Voting Common Stock | Dec 2, 2016 | J | 1,019,000 | $0.00 | A | 1,448,849 | I | By Castle Creek Capital Partners IV, LP |
| Voting Common Stock | holding | — | — | — | 8,682 | 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
No Table II lines on this filing.
Explanation of responses
- F1On December 2, 2016, the issuer and Castle Creek Capital Partners IV, LP ("Castle Creek") entered into an Exchange Agreement pursuant to which Castle Creek exchanged 1,019,000 shares of non-voting common stock of the issuer for 1,019,000 shares of voting common stock of the issuer.