SEC Form 4/A · accession 0001140361-18-005140
Independent Bank Group, Inc. · IBTX
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
Mark K Gormley
Director
Period of report
Jan 31, 2018
Accepted (ET)
Feb 5, 2018 · 6:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001564618
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 31, 2018 | A | 606 | — | A | 606 | D | |
| Common StockF2,F3 | holding | — | — | — | 1,546,796 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person acquired the shares pursuant to a grant under the Issuer's 2013 Equity Incentive Plan. Such shares vest in three (3) equal annual installments on the anniversary of the date of grant, subject to forfeiture upon the occurrence of certain events specified in the agreement underlying such grant.
- F2Amendment reflects 386,699 shares sold by LEP Carlile Holdings, LLC, a Delaware limited liability company ("LEP Carlile Holdings") on December 6, 2017, in a registered public offering.
- F3Amendment reflects that shares are directly owned by LEP Carlile Holdings. The members of LEP Carlile Holdings are Thomas H. Lee, Lee Equity Partners Realization Fund, L.P., a Delaware limited partnership, Lee Equity Strategic Partners Realization Fund, L.P., a Delaware limited partnership, and LEP Carlile Co-Investor Group I, LLC, a Delaware limited liability company (collectively, the "Funds"). Mr. Gormley is a member and equity owner of the general partner of the Funds. Mr. Gormley disclaims beneficial ownership of shares held by LEP Carlile Holdings, LLC and the Funds, except to the extent of his or its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Gormley is the beneficial owner of the shares for purposes of Section 16 of the Exchange Act or for any other purpose.