SEC Form 4 · accession 0001628280-19-000045
Capital Bancorp Inc · CBNK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F. Whalen
Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 2, 2019 · 4:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001419536
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 88,000 | I | By IP Associates, LLC | |
| Common Stock | holding | — | — | — | 58,400 | I | By Millennium Trust Company, LLC FBO James Whalen | |
| Common Stock | holding | — | — | — | 620,396 | I | By James F. Whalen Revocable Trust | |
| Common Stock | holding | — | — | — | 237,248 | I | By Whalen Family, LLC | |
| Common Stock | holding | — | — | — | 31,200 | I | By The Katherine M. Whalen Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $11.38 | Dec 31, 2018 | A | 11,250 | A | Dec 31, 2019 | Dec 31, 2023 | Common Stock | 11,250 | 11,250 | D |
| Stock OptionsF1 | $6.63 | holding | — | — | — | Dec 31, 2015 | Dec 31, 2019 | Common Stock | 3,000 | 3,000 | D |
| Stock OptionsF1 | $7.50 | holding | — | — | — | Dec 31, 2016 | Dec 31, 2020 | Common Stock | 7,000 | 7,000 | D |
| Stock OptionsF1 | $8.50 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2021 | Common Stock | 10,576 | 10,576 | D |
| Stock OptionsF1 | $12.38 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2022 | Common Stock | 14,400 | 14,400 | D |
Explanation of responses
- F1The Stock Options vest in four equal annual installments beginning on the first anniversary of the date of grant.