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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 | ||||||||
Director Stock Option (right to buy) | $ 13.34 | 07/31/2015 | A | 18,750 | 07/31/2015 | 04/19/2017 | Common Stock | 18,750 | (5) | 18,750 | D | ||||
Director Stock Option (right to buy) | $ 20 | 07/31/2015 | A | 2,746 | 07/31/2015 | 12/31/2019 | Common Stock | 2,746 | (6) | 2,746 | D | ||||
Director Stock Option (right to buy) | $ 20 | 07/31/2015 | A | 2,806 | 07/31/2015 | 12/31/2021 | Common Stock | 2,806 | (7) | 2,806 | D | ||||
Director Stock Option (right to buy) | $ 25 | 07/31/2015 | A | 1,781 | 07/31/2015 | 01/31/2023 | Common Stock | 1,781 | (8) | 1,781 | D | ||||
Director Stock Option (right to buy) | $ 25 | 07/31/2015 | A | 5,000 | 07/31/2015 | 03/28/2023 | Common Stock | 5,000 | (9) | 5,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brock Charles E PO BOX 25107 CHATTANOOGA, TN 37422-5107 |
X |
/s/ Charles E. Brock | 08/05/2015 | |
**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 45,000 shares of CapitalMark Bank & Trust Common Stock in connection with the merger (the "Merger") of CapitalMark Bank & Trust with and into Pinnacle Bank, a wholly-owned subsidiary of Pinnacle Financial Partners, Inc. ("Pinnacle Financial") On July 31, 2015, the closing price of Pinnacle Financials' common stock was $53.09. |
(2) | Restricted shares with restrictions that lapse on February 28, 2016 based on attendance at Pinnacle Board and Committee meetings to which the above-named officer serves. |
(3) | Received in exchange for 17,820 shares of CapitalMark Bank & Trust Common Stock in connection with the Merger. On July 31, 2015, the closing price of Pinnacle Financials' common stock was $53.09. |
(4) | The reporting person disclaims beneficial ownership of these shares, and this report should not be deemed an admission that the reporting person is the beneficial owner of these shares for the purposes of Section 16 or for any other purposes. |
(5) | Received in the Merger in exchange for a stock option to acquire 37,500 shares of CapitalMark Bank & Trust common stock for $6.67 per share. |
(6) | Received in the Merger in exchange for a stock option to acquire 5,491 shares of CapitalMark Bank & Trust common stock for $10.00 per share. |
(7) | Received in the Merger in exchange for a stock option to acquire 5,611 shares of CapitalMark Bank & Trust common stock for $10.00 per share. |
(8) | Received in the Merger in exchange for a stock option to acquire 3,562 shares of CapitalMark Bank & Trust common stock for $12.50 per share. |
(9) | Received in the Merger in exchange for a stock option to acquire 10,000 shares of CapitalMark Bank & Trust common stock for $12.50 per share. |