SEC Form 4 · accession 0000899243-18-011432
CapStar Financial Holdings, Inc. · CSTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis Bottorff
Director
Period of report
May 1, 2018
Accepted (ET)
May 3, 2018 · 7:38 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 Stock | May 1, 2018 | X | 5,000 | $10.00 | A | 170,025 | D | |
| Common StockF1 | holding | — | — | — | 856 | D | ||
| Common StockF2 | holding | — | — | — | 218 | D | ||
| Common StockF3 | holding | — | — | — | 244 | D | ||
| Common Stock | holding | — | — | — | 44,504 | I | Dennis C. Bottorff Family 2016 CapStar GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $10.00 | May 1, 2018 | X | 5,000 | D | Jul 14, 2008 | Jul 14, 2018 | Common Stock | 5,000 | 0 | D |
| Option (right to buy)F4 | $10.00 | holding | — | — | — | — | Nov 13, 2018 | Common Stock | 12,000 | 12,000 | D |
| Option (right to buy)F5 | $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 granted on February 28, 2017. As of the date of this report, 109 shares have vested. The remaining 218 shares of restricted common stock under this award vest on the second and third anniversaries of the February 28, 2017 grant date, or February 28, 2019 and February 28, 2020, respectively.
- F3The reported item represents the unvested portion of an award of restricted stock granted on March 3, 2016. The remaining 244 shares of restricted stock under this award vest on the third anniversary of the grant date, or March 3, 2019.
- F4The reported item represents an award of an option to purchase a total of 12,000 shares of common stock which vested and became exercisable in four equal annual installments beginning on the first anniversary of the November 13, 2008 grant date.
- F5The reported item represents an award of an option to purchase a total of 6,000 shares of common stock which vested and became exercisable in four equal annual installments beginning on the first anniversary of the January 20, 2010 grant date.