Guaranty Bancorp Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows, 20 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-09-30: Reporting owner Relational Investors Mid-Cap Fund II, L.P. | BATCHELDER DAVID H | RELATIONAL INVESTORS LLC | Relational Investors Mid-Cap Fund 1, L.P. | WHITWORTH RALPH V; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-09-30: Reporting owner Relational Investors Mid-Cap Fund II, L.P. | BATCHELDER DAVID H | RELATIONAL INVESTORS LLC | Relational Investors Mid-Cap Fund 1, L.P. | WHITWORTH RALPH V; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-09-30: Reporting owner WYCOFF W KIRK; Form 4; Security Series A Convertible Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-09-30: Reporting owner RUH WILLIAM J; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-09-30 | Relational Investors Mid-Cap Fund II, L.P. | BATCHELDER DAVID H | RELATIONAL INVESTORS LLC | Relational Investors Mid-Cap Fund 1, L.P. | WHITWORTH RALPH V 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −13,194 0 owned after | $1.50 exercise price | 2011-10-03 | |
| 2011-09-30 | Relational Investors Mid-Cap Fund II, L.P. | BATCHELDER DAVID H | RELATIONAL INVESTORS LLC | Relational Investors Mid-Cap Fund 1, L.P. | WHITWORTH RALPH V 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −26,388 0 owned after | $1.50 exercise price | 2011-10-03 | |
| 2011-09-30 | WYCOFF W KIRK Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Patriot Financial Partners, L.P. and Patriot Financial Partners Parallel, L.P. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,384 0 owned after | $1.50 exercise price | 2011-10-03 | |
| 2011-09-30 | RUH WILLIAM J 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Castle Creek Capital Partners IV, LP | C Conversion of derivative security | −13,194 0 owned after | $1.50 exercise price | 2011-10-03 | |
| 2011-09-30 | RUH WILLIAM J 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Lisa A. Ruh Trust | C Conversion of derivative security | −324 0 owned after | $1.50 exercise price | 2011-10-03 | |
| 2011-09-30 | EGGEMEYER JOHN M III Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Castle Creek Capital Partners IV, LP | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,194 0 owned after | $1.50 exercise price | 2011-10-03 | |
| 2010-08-05 holding as of filing | RUH WILLIAM J 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Lisa A. Ruh Trust | Holding | 265 owned after | $1.80 exercise price | 2010-08-05 | |
| 2010-07-30 | RUH WILLIAM J 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Castle Creek Capital Partners III, LP | S Open market or private sale of non-derivative or derivative security | −10,700 10,700 owned after | $1,019.25 | 2010-08-05 | |
| 2010-07-30 | RUH WILLIAM J 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Castle Creek Capital Partners IV, LP | P Open market or private purchase of non-derivative or derivative security | +10,700 10,700 owned after | $1,019.25 | 2010-08-05 | |
| 2010-07-30 | EGGEMEYER JOHN M III Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Castle Creek Capital Partners III, L.P. | S Open market or private sale of non-derivative or derivative security | −10,700 10,700 owned after | $1,019.25 | 2010-08-03 | |
| 2010-07-30 | EGGEMEYER JOHN M III Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Castle Creek Capital Partners IV, L.P. | P Open market or private purchase of non-derivative or derivative security | +10,700 10,700 owned after | $1,019.25 | 2010-08-03 | |
| 2010-02-16 holding as of filing | RUH WILLIAM J 10% Owner | 5 | Series A Convertible Preferred Stock Derivative · Indirect · By Lisa A. Ruh Trust | Holding | 255 owned after | $1.80 exercise price | 2010-02-16 | |
| 2010-02-16 holding as of filing | RUH WILLIAM J 10% Owner | 5 | Series A Convertible Preferred Stock Derivative · Indirect · By Castle Creek Capital Partners III, LP | Holding | 10,235 owned after | $1.80 exercise price | 2010-02-16 | |
| 2009-10-30 holding as of filing | EGGEMEYER JOHN M III Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Castle Creek Capital Partners III, L.P. | Holding | 10,000 owned after | $1.80 exercise price | 2009-10-30 | |
| 2009-08-20 holding as of filing | RELATIONAL INVESTORS LLC | Relational Investors Mid-Cap Fund 1, L.P. | BATCHELDER DAVID H | WHITWORTH RALPH V | Relational Investors Mid-Cap Fund II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | $1.80 exercise price | 2009-08-20 | ||
| 2009-08-20 holding as of filing | RELATIONAL INVESTORS LLC | Relational Investors Mid-Cap Fund 1, L.P. | BATCHELDER DAVID H | WHITWORTH RALPH V | Relational Investors Mid-Cap Fund II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | $1.80 exercise price | 2009-08-20 | ||
| 2009-08-13 holding as of filing | PATRIOT FINANCIAL PARTNERS LP | PATRIOT FINANCIAL PARTNERS GP, LLC | PATRIOT FINANCIAL PARTNERS GP, LP | LUBERT IRA M | PATRIOT FINANCIAL PARTNERS PARALLEL, L.P. | LYNCH JAMES J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $1.80 exercise price | 2009-08-13 | ||
| 2009-08-12 holding as of filing | WYCOFF W KIRK Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Patriot Financial Partners, L.P. and Patriot Financial Partners Parallel, L.P. | Holding | $1.80 exercise price | 2009-08-12 | ||
| 2009-08-11 | EGGEMEYER JOHN M III Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Castle Creek Capital Partners III, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $1,000.00 | 2009-08-12 | |
| 2009-08-11 | WYCOFF W KIRK Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Patriot Financial Partners, L.P. and Patriot Financial Partners Parallel, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1,000.00 | 2009-08-12 |