SEC Form 4 · accession 0001209191-15-077248
CASS INFORMATION SYSTEMS INC · CASS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric H Brunngraber
Officer — President, CEO · Director
Period of report
Oct 28, 2015
Accepted (ET)
Oct 29, 2015 · 2:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000708781
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 28, 2015 | M | 1,093 | $23.48 | A | 63,221 | D | |
| Common StockF1 | Oct 28, 2015 | D | 477 | $53.87 | D | 62,744 | D | |
| Common StockF1 | Oct 28, 2015 | F | 295 | $53.87 | D | 62,449 | D | |
| Common StockF1 | Oct 28, 2015 | M | 6,501 | $24.93 | A | 68,950 | D | |
| Common StockF1 | Oct 28, 2015 | D | 3,009 | $53.87 | D | 65,941 | D | |
| Common StockF1 | Oct 28, 2015 | F | 1,674 | $53.87 | D | 64,267 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF2 | $23.48 | Oct 28, 2015 | M | 1,093 | D | Jan 23, 2009 | Jan 21, 2018 | Common Stock | 1,093 | 0 | D |
| Stock Appreciation RightsF2 | $24.93 | Oct 28, 2015 | M | 6,501 | D | Jan 27, 2011 | Jan 25, 2020 | Common Stock | 6,501 | 0 | D |
Explanation of responses
- F1Includes restricted stock bonus shares, subject to vesting and forfeiture.
- F2Over a three-year vesting period, SARs become exercisable in one-third increments on the anniversary date of the grant.