SEC Form 4 · accession 0001501570-17-000208
Veritex Holdings, Inc. · VBTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Angela Harper
Officer — EVP, Credit Risk Officer
Period of report
Oct 9, 2017
Accepted (ET)
Oct 11, 2017 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001501570
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 9, 2017 | M | 706 | — | A | 16,927 | D | |
| Common StockF2,F3,F4 | Oct 9, 2017 | F | 193 | $27.02 | D | 16,734 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | Oct 9, 2017 | M | 706 | D | — | — | Common Stock | 706 | 1,608 | D |
Explanation of responses
- F1Restricted Stock Units convert into common stock on a one-for-one basis.
- F2The reporting person's original Form 3, and two subsequently filed Form 4s incorrectly reported 10,000 shares of Issuer common stock as owned directly through a personal IRA. As indicated in this Form 4, the reporting person holds 5,000 shares of Issuer common stock in her personal IRA.
- F310,000 shares held in the name of Pershing LLC as custodian of the reporting person's personal IRA.
- F4Shares held in the name of Pershing LLC custodian of personal IRA.
- F5On October 9, 2014 the reporting person was granted 3,533 restricted stock units which vest which vest in five equal installments beginning October 9, 2015.