SEC Form 4/A · accession 0001209191-16-089398
Capital Bank Financial Corp. · CBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
R Eugene Taylor
Officer — Chairman and CEO · Director
Period of report
Nov 6, 2015
Accepted (ET)
Jan 5, 2016 · 7:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001479750
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock, par value $0.01 per shareF1,F2 | Nov 6, 2015 | F | 101,788 | $34.27 | D | 558,553 | D | |
| Restricted Common Stock | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Option (right to buy)F3 | $20.00 | holding | — | — | — | — | Dec 22, 2019 | Class A Common Stock, par value $0.01 per share | 1,251,112 | 1,251,112 | D |
| Common Stock Option (right to buy)F4 | $20.00 | holding | — | — | — | — | Jan 12, 2022 | Class A Common Stock, par value $0.01 per share | 209,283 | 209,283 | D |
Explanation of responses
- F1This amendment is being filed to correct typographical errors contained in Table I and footnotes (1) and (2) of the Form 4 filed on November 10, 2015. This amendment properly reflects that 101,788 shares were withheld by Capital Bank Financial Corp. in respect of withholding tax liability incurred upon the vesting of 212,972 shares of restricted stock, which occurred on November 6, 2015.
- F2Reflects the addition of 111,364 shares upon the vesting of restricted stock (after withholding of shares described in the preceding footnote), which occurred on November 6, 2015.
- F3sists of stock options granted in March 2011. One half of the stock options granted in March 2011 vested on December 22, 2011 and the other half of the stock options granted in March 2011 vested on December 22, 2012.
- F4Consists of stock options granted in January 2012. One half of the stock options granted in January 2012 vested on January 12, 2012 and the other half of the stock options granted in January 2012 vested on January 12, 2013.