SEC Form 4 · accession 0000899243-18-028221

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

Nov 1, 2018

Accepted (ET)

Nov 5, 2018 · 5:38 pm EST

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^F1	Nov 1, 2018	X	3,000	$10.00	A	39,550	D
Common Stock^F1	Nov 1, 2018	X	1,250	$10.00	A	40,800	D
Common Stock^F1	Nov 1, 2018	F	2,876	$14.78	D	37,924	D
Common Stock^F2	holding	—	—		—	732	D
Common Stock^F3	holding	—	—		—	397	D
Common Stock^F4	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	Nov 1, 2018	X	3,000	D	—	Jan 20, 2020	Common Stock	3,000	0	D
Options (right to buy)^F6	$10.00	Nov 1, 2018	X	1,250	D	—	Aug 23, 2021	Common Stock	1,250	0	D

Explanation of responses

F1The reported item represents shares that were acquired pursuant to the exercise of options on November 1, 2018 pursuant to a 10b5-1 trading plan. Of the 4,250 total shares acquired, the issuer withheld 2,876 shares to pay the purchase price for the options resulting in the issuance of 1,374 shares. Following these reported transactions the reporting person directly owns 37,924 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 January 20, 2010, grant date.
F6These options vested in four equal annual installments beginning one year after the August 23, 2011, grant date.