SEC Form 4/A · accession 0000899243-18-028184
Cadence Bancorporation · CADE
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
Marc J Shapiro
Other
Period of report
Apr 19, 2017
Accepted (ET)
Nov 5, 2018 · 4:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001614184
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 | Apr 19, 2017 | P$0 | 23,000 | — | A | 23,000 | D | |
| Class A Common Stock, par value $0.01 per shareF1,F2,F3 | Apr 19, 2017 | P$0 | 2,000 | — | A | 2,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment to the Reporting Person's Form 4 filed on April 19, 2017 is to correct the allocation of direct and indirect ownership of Class A common stock, par value $0.01 per share (the "Class A Common Stock") of Cadence Bancorporation purchased through a directed share program in connection with the initial public offering of the Class A Common Stock (the "IPO"), which closed on April 19, 2017. The 2,000 shares, now disclosed as being held indirectly, were previously disclosed as being held directly in the original Form 4 and two subsequent Forms 4 filed by the Reporting Person. This amendment does not reflect changes occurring after April 19, 2017, including but not limited to changes in ownership of Class A Common Stock and the relationship of the Reporting Person to Issuer.
- F2The shares of Class A Common Stock were purchased at the initial public offering price of $20.00 per share. The shares are subject to a lock up provision for a period of 180 days, as required under a lock-up agreement with the underwriters of the IPO.
- F3Held by a trust for the benefit of the Reporting Person's sister, for which the Reporting Person is the co-trustee and therefore may be deemed to be a beneficial owner of such shares.