SEC Form 4 · accession 0001209191-15-033791
ANCHOR BANCORP WISCONSIN INC · ABCW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Capital Z Partners III GP, L.P.
Director
Capital Z Partners III GP, Ltd.
Director
Capital Z Partners III, L.P.
Director
Period of report
Aug 14, 2014
Accepted (ET)
Apr 13, 2015 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000885322
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 14, 2014 | A | 1,000 | $20.95 | A | 878,800 | I | See Explanation of Responses |
| Common StockF3,F2 | Mar 31, 2015 | A | 576 | $34.73 | A | 879,376 | I | See Explanation of Responses |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of restricted stock that vests on March 31, 2015.
- F2Directly owned by Capital Z Partners III, L.P. ("Cap Z III"). Capital Z Partners III GP, L.P. ("Cap Z III GP") is the sole general partner of Cap Z III. Capital Z Partners III GP, Ltd. ("Cap Z III GP Ltd." and, together with Cap Z III and Cap Z III GP, the "Filing Persons") is the sole general partner of Cap Z III GP and the ultimate general partner of Cap Z III. Cap Z III, Cap Z III GP and Cap Z III GP Ltd. may be deemed to be part of a "group" (within the meaning of Rule 13d-5(b) under the Securities Exchange of 1934, as amended and incorporated by reference in Rule 16a-1 of the Exchange Act) but each individual entity described above disclaims beneficial ownership of securities held by any other entity except to the extent of any indirect pecuniary interest therein (within the meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the securities beneficially owned by such other entity.
- F3Consists of restricted stock that vests on March 31, 2016.
Remarks
Pursuant to the terms of a Stock Purchase Agreement between Cap Z III and Anchor BanCorp Wisconsin Inc. ("Anchor BanCorp"), Cap Z III designated Bradley Cooper for appointment to the board of directors of Anchor BanCorp. On December 18, 2013, Mr. Cooper was appointed a director to the Board of Directors of Anchor BanCorp Wisconsin, Inc. Therefore, each of the Filing Persons may be deemed to be a director by deputization. See Exhibit 99.1 Joint Filer Information.