SEC Form 4 · accession 0000899243-18-009096
CapStar Financial Holdings, Inc. · CSTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S. Turner Jr.
Director
Period of report
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 7:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001676479
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | Mar 29, 2018 | X | 10,000 | $10.00 | A | 10,000 | I | James S. Turner |
| Common StockF3 | Mar 29, 2018 | X | 10,000 | $10.00 | A | 10,000 | I | Judith P. Turner |
| Common Stock | holding | — | — | — | 252,615 | D | ||
| Common StockF1 | holding | — | — | — | 1,010 | D | ||
| Common StockF2 | holding | — | — | — | 611 | D | ||
| Common StockF4 | holding | — | — | — | 519 | D | ||
| Common StockF3 | holding | — | — | — | 117,007 | I | James S. Turner | |
| Common StockF3 | holding | — | — | — | 117,007 | I | Judith P. Turner | |
| Common StockF3 | holding | — | — | — | 75,643 | I | Family Private Trust LLC TTEE The Katherine Rose Turner 1997 Grandchilds Trust | |
| Common StockF3 | holding | — | — | — | 75,643 | I | Family Private Trust LLC TTEE The James Stephen Turner III 2000 Grandchilds Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (right to buy)F3 | $10.00 | Mar 29, 2018 | X | 10,000 | D | Jul 14, 2008 | Jul 14, 2018 | Common Stock | 10,000 | 0 | I |
| Warrants (right to buy)F3 | $10.00 | Mar 29, 2018 | X | 10,000 | D | Jul 14, 2008 | Jul 14, 2018 | Common Stock | 10,000 | 0 | I |
| Warrants (right to buy) | $10.00 | holding | — | — | — | Jul 14, 2008 | Jul 14, 2018 | Common Stock | 10,500 | 10,500 | D |
| Option (right to buy)F5 | $10.00 | holding | — | — | — | — | Nov 13, 2018 | Common Stock | 7,000 | 7,000 | D |
| Option (right to buy)F6 | $10.00 | holding | — | — | — | — | Jan 20, 2020 | Common Stock | 6,000 | 6,000 | D |
Explanation of responses
- F1The reported item represents an award of restricted stock which vests in three approximately equal installments beginning on the first anniversary of the March 6, 2018 grant date.
- F2The reported item represents the unvested portion of an award of restricted stock on February 28, 2017. As of the date of this report, 305 shares have vested. The remaining 611 shares of restricted stock under this award vest in equal installments on the second and third anniversaries of the grant date, or February 28, 2019 and February 28, 2020, respectively.
- F3The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- F4The reported item represents the unvested portion of an award of restricted common stock granted on March 3, 2016. As of the date of this report, 1,037 shares have vested. The remaining 519 shares of restricted common stock under this award vest on the third anniversary of the March 3, 2016 grant date, or March 3, 2019.
- F5These options vested in four equal annual installments beginning one year after the November 13, 2008, grant date.
- F6These options vested in four equal annual installments beginning one year after the January 20, 2010, grant date.