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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
White Alan B 200 CRESCENT COURT, SUITE 1330 DALLAS, TX 75201 |
X | PlainsCapital Corporation CEO |
/s/ Alan B. White | 10/08/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Received in exchange for 435,383 shares of PlainsCapital Corporation ("PlainsCapital") original common stock and an option to purchase 7,200 shares of PlainsCapital original common stock in connection with the merger of PlainsCapital with and into Meadow Corporation, a wholly owned subsidiary of Issuer ("Meadow"), pursuant to which Meadow continued as the surviving corporation and as a wholly owned subsidiary of Issuer (the "Merger"). As consideration for the Merger, each share of PlainsCapital common stock converted into the right to receive $9.00 in cash and 0.776 shares of Issuer common stock, which, on the effective date of the Merger, had a closing price of $14.29 per share. This amendment amends and restates the original Form 4 to report 5,586 shares of Issuer common stock issued to the reporting person in connection with the Merger that were inadvertently omitted from the original Form 4. |
(2) | Includes 94,893 shares held in an individual retirement account for the benefit of the reporting person. |
(3) | Received in connection with the Merger in exchange for 12,613 shares of PlainsCapital original common stock, including 6,238 shares of PlainsCapital original common stock allocated to the account of the reporting person's spouse under the Plains Capital Corporation Employee Stock Ownership Plan (the "ESOP"). |
(4) | The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. The reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that the reporting person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of these shares. |
(5) | Received in connection with the Merger in exchange for 30,678 shares of PlainsCapital original common stock. |
(6) | Received in connection with the Merger in exchange for 16,602 shares of PlainsCapital original common stock. |
(7) | Received in connection with the Merger in exchange for 10,368 shares of PlainsCapital original common stock. |
(8) | Received in connection with the Merger in exchange for 2,389,122 shares of PlainsCapital original common stock. |
(9) | Received in connection with the Merger in exchange for 46,779 shares of PlainsCapital original common stock allocated to the reporting person's account under the ESOP. |