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4//SEC Filing

KELLER OSCAR A III 4

Accession 0001140361-11-021146

CIK 0001071992other
View on SEC.govCompany Profile

Filed

Apr 5, 8:00 PM ET

Accepted

Apr 6, 5:21 PM ET

Size

20.5 KB

Accession

0001140361-11-021146

Insider Transaction Report

Form 4
Period: 2011-04-04
CAPITAL BANK CORPCBKN
KELLER OSCAR A III
Director
Transactions
  • Exercise/Conversion

    Common Stock

    2011-04-04+81,883→ 379,432 total
  • Exercise/Conversion

    Phantom Stock Units

    2011-04-04−21,558→ 0 total
    From: 2011-01-27→ Common Stock (21,558 underlying)
  • Exercise/Conversion

    Phantom Stock Units

    2011-04-04−44,916→ 0 total
    → Common Stock (44,916 underlying)
  • Exercise/Conversion

    Phantom Stock Units

    2011-04-04−15,409→ 0 total
    → Common Stock (15,409 underlying)
  • Award

    Phantom Stock Units

    2011-04-04$3.40/sh+14,522$49,375→ 44,916 total
    → Common Stock (14,522 underlying)
Holdings

  • Common Stock

    (indirect: By Spouse)
    25,950

  • Common Stock

    (indirect: By Children)
    4,800

  • Stock Option (Right to Buy)

    Exercise: $18.36From: 2004-12-31Exp: 2014-12-31→ Common Stock (3,500 underlying)
    3,500

  • Common Stock

    (indirect: By Affiliated Company)
    60,042

  • Stock Option (Right to Buy)

    Exercise: $10.65From: 2001-12-28Exp: 2011-12-28→ Common Stock (9,300 underlying)
    9,300

  • Common Stock

    21,633

  • Common Stock

    (indirect: By IRA)
    20,422

  • Common Stock

    (indirect: By Spouse)
    18,783
Footnotes (5)
  • [F1]Owned jointly with spouse. The reporting person disclaims beneficial ownership of securities owned by spouse.
  • [F2]"Phantom stock units" acquired by the reporting person from the Capital Bank Corporation Deferred Compensation Plan for Outside Directors (As Amended and Restated November 20, 2008). Each phantom stock unit is the economic equivalent of one share of Capital Bank Corporation common stock.
  • [F3]Securities held equally for four children and four grandchildren.
  • [F4]Amos Properties, LLC - 25% owned by reporting person and 25% owned by reporting person's spouse.
  • [F5]Payment of benefits under the Capital Bank Corporaton Deferred Compensation Plan for Outside Directors (As Amended and Restated November 20, 2008) are payable in full within 90 days of the consummation of a transaction constituting a change in control. On January 28, 2011, North American Financial Holdings, Inc. ("NAFH") completed its investment of approximately $181 million in the Company through the purchase of 71 million shares of the Company's common stock resulting in NAFH owning approximately 83% of the Company's outstanding common stock.

Documents

1 file

Issuer

CAPITAL BANK CORP

CIK 0001071992

→
Entity typeother

Related Parties

1
  • filerCIK 0001208819

Filing Metadata

Form type
4
Filed
Apr 5, 8:00 PM ET
Accepted
Apr 6, 5:21 PM ET
Size
20.5 KB
View on SEC.gov