SEC Form 4 · accession 0000899243-18-016414
CapStar Financial Holdings, Inc. · CSTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Buford Smith
Director
Period of report
Jun 11, 2018
Accepted (ET)
Jun 13, 2018 · 6:31 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 StockF1 | Jun 11, 2018 | X | 3,000 | $10.00 | A | 35,703 | D | |
| Common StockF1 | Jun 11, 2018 | F | 1,497 | $20.05 | D | 34,206 | D | |
| Common StockF2 | holding | — | — | — | 732 | D | ||
| Common StockF3 | holding | — | — | — | 397 | D | ||
| Common StockF4 | holding | — | — | — | 390 | D | ||
| Common Stock | holding | — | — | — | 3,000 | I | Matthew Carlton Smith Family Trust | |
| Common Stock | holding | — | — | — | 3,000 | I | Stephen B. Smith Jr. Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (right to buy)F5 | $10.00 | Jun 11, 2018 | X | 3,000 | D | — | Nov 13, 2018 | Common Stock | 3,000 | 0 | D |
| Options (right to buy)F6 | $10.00 | holding | — | — | — | — | Jan 20, 2020 | Common Stock | 6,000 | 6,000 | D |
| Options (right to buy)F7 | $10.00 | holding | — | — | — | — | Aug 23, 2021 | Common Stock | 1,250 | 1,250 | D |
Explanation of responses
- F1The reported item represents shares that were acquired pursuant to the exercise of options on June 11, 2018 pursuant to a 10b5-1 trading plan. Of the 3,000 shares acquired, the issuer withheld 1,497 shares to pay the purchase price for the options resulting in the issuance of 1,503 shares. Following these reported transactions the reporting person directly owns 34,206 shares of common stock not subject to restriction or vesting.
- F2The reported item represents an award of restricted stock which vests in three equal installments beginning on the first anniversary of the March 6, 2018 grant date.
- F3The reported item represents the unvested portion of an award of restricted stock on February 28, 2017. As of the date of this report 198 shares have vested. The remaining 397 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.
- 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, 779 shares have vested. The remaining 390 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.
- F7These options vested in four equal annual installments beginning one year after the August 23, 2011, grant date.