SEC Form 4/A · accession 0001140361-15-042115
SEACOAST BANKING CORP OF FLORIDA · SBCF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
John W Rose
Director · 10% Owner
Robert Goldstein
10% Owner
Eugene Ludwig
Director · 10% Owner
CapGen Capital Group III LP
Director · 10% Owner
CapGen Capital Group III LLC
Director · 10% Owner
John P Sullivan
Director · 10% Owner
Period of report
Nov 13, 2015
Accepted (ET)
Nov 18, 2015 · 9:12 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000730708
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.10 per shareF1,F2,F4,F3 | Nov 13, 2015 | S | 500,000 | $14.62 | D | 7,463,141 | I | See footnote. |
| Common Stock, par value $0.10 per shareF5 | holding | — | — | — | 52,985 | D | ||
| Common Stock, par value $0.10 per shareF6 | holding | — | — | — | 12,437 | I | See footnote. | |
| Common Stock, par value $0.10 per shareF7 | holding | — | — | — | 9,950 | D | ||
| Common Stock, par value $0.10 per shareF8 | holding | — | — | — | 49,373 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1CapGen Capital Group III LP ("CapGen III") sold an aggregate of 500,000 shares of common stock, par value $0.10 per share ("Common Stock") of Seacoast Banking Corporation of Florida (the "Issuer") in a block trade at a price of $14.62 per share.
- F2CapGen Capital Group III LLC ("CapGen LLC") is the sole general partner of CapGen III. Mr. Eugene A. Ludwig is the managing member of CapGen LLC. As the sole general partner of CapGen III, CapGen LLC may be deemed to be the indirect beneficial owner of the shares of Common Stock on this row under Rule 16a-1(a)(2) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, CapGen LLC disclaims that it is the beneficial owner of such shares, except to the extent of its pecuniary interest.
- F3As the managing member of CapGen LLC, Mr. Ludwig may be deemed to be the indirect beneficial owner of the shares of Common Stock under Rule 16a-1(a)(2) promulgated under the Exchange Act. As a principal member and member of the investment committee of CapGen Capital Group LLC, the general partner of CapGen III, Mr. Goldstein may be deemed to be the indirect beneficial owner of such shares under Rule 16a-1(a)(2) promulgated under the Exchange Act. As a member of the investment committee of CapGen LLC, the general partner of CapGen III, Mr. Sullivan may be deemed to be the indirect beneficial owner of the shares of Common Stock under Rule 16a-1(a)(2) promulgated under the Exchange Act. As a principal member and member of the investment committee of CapGen LLC, the general partner of CapGen III, Mr. Rose may be deemed to be the indirect beneficial owner of the shares of Common Stock under Rule 16a-1(a)(2) promulgated under the Exchange Act.
- F4Pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, Mr. Ludwig, Mr. Sullivan, Mr. Rose and Mr. Goldstein disclaim that they are the beneficial owners of such shares, except to the extent of their pecuniary interests.
- F5Mr. Goldstein directly owns the shares reported in this row.
- F6The shares reported in this row are held in a retirement account over which Mr. Goldstein holds discretionary authority.
- F7Mr. Sullivan directly owns the shares reported in this row.
- F8Mr. Rose directly owns the shares reported in this row.