4//SEC Filing
DUBUQUE KENNETH R 4
Accession 0001209191-08-007853
CIK 0001406081other
Filed
Feb 4, 7:00 PM ET
Accepted
Feb 5, 5:09 PM ET
Size
18.9 KB
Accession
0001209191-08-007853
Insider Transaction Report
Form 4
DUBUQUE KENNETH R
DirectorPresident and CEO
Transactions
- Tax Payment
Common Stock
2008-02-04$13.82/sh−1,215$16,791→ 43,205 total
Holdings
- 48(indirect: By Trust)
Common Stock
- 7,666
Restricted Stock
→ Common Stock (7,666 underlying) - 2,666
Option (right to buy)
Exercise: $5.57From: 2007-02-07Exp: 2013-02-07→ Common Stock (2,666 underlying) - 8,000
Option (right to buy)
Exercise: $9.64From: 2005-02-06Exp: 2014-02-06→ Common Stock (8,000 underlying) - 8,200
Option (right to buy)
Exercise: $17.36From: 2007-02-03Exp: 2016-02-03→ Common Stock (8,200 underlying) - 8,166
Restricted Stock
→ Common Stock (8,166 underlying) - 10,000
Restricted Stock
→ Common Stock (10,000 underlying)
Footnotes (11)
- [F1]Reporting Person surrendered 1,215 shares in payment of taxes on restricted stock award that vested effective 02/01/2008.
- [F10]Restricted Shares granted on August 9, 2007 that will vest effective February 2, 2010. Restricted Shares will be settled for cash based on the fair market value on the vesting date subject to a 1% ROI performance criteria.
- [F11]Restricted Shares granted on August 9, 2007 that will vest effective May 4, 2010. Restricted Shares will be settled for cash based on the fair market value on the vesting date subject to a 1% ROI performance criteria.
- [F2]Reporting Person acquired additional shares through on-going acquisitions under 401(k) plan. By trustee of the Guaranty Financial Group Inc. Savings and Retirement Plan according to the latest report of the Plan Administrator. (Note: Trustee uses unit accounting; therefore, share equivalents may fluctuate slightly from month to month.)
- [F3]Shares acquired in a pro rata distribution by Temple-Inland Inc. through a spin-off on or around December 28, 2007.
- [F4]Options Vesting Schedule for Options Granted 02/07/2003 - exercise price $5.57: Options Exerciserable 02/07/2007 - 2,666.
- [F5]Options Vesting Schedule for Options Granted 02/06/2004 - exercise price $9.64: Options Exerciserable 02/06/2005 - 2,000; Options Exerciserable 02/06/2006 - 2,000; Options Exerciserable 02/06/2007 - 2,000 and Options Exerciserable 02/06/2008 - 2,000.
- [F6]Options Vesting Schedule for Options Granted 02/04/2005 - exercise price $13.00: Options Exerciserable 02/04/2006 - 2,000; Options Exerciserable 02/04/2007 - 2,000; Options Exerciserable 02/04/2008 - 2,000 and Options Exerciserable 02/04/2009 - 2,000.
- [F7]Options Vesting Schedule for Options Granted 02/03/2006 - exercise price $17.36: Options Exerciserable 02/03/2007 - 2,050; Options Exerciserable 02/03/2008 - 2,050; Options Exerciserable 02/03/2009 - 2,050 and Options Exerciserable 02/03/2010 - 2,050.
- [F8]Options Vesting Schedule for Options Granted 02/02/2007 - exercise price $19.61: Options Exerciserable 02/02/2008 - 2,050; Options Exerciserable 02/02/2009 - 2,050; Options Exerciserable 02/02/2010 - 2,050 and Options Exerciserable 02/02/2011 - 2,050.
- [F9]Restricted Shares granted on August 9, 2007 that will vest effective February 3, 2009. Restricted Shares will be settled for cash based on the fair market value on the vesting date subject to a 1% ROI performance criteria.
Documents
Issuer
Guaranty Financial Group Inc.
CIK 0001406081
Entity typeother
Related Parties
1- filerCIK 0001185906
Filing Metadata
- Form type
- 4
- Filed
- Feb 4, 7:00 PM ET
- Accepted
- Feb 5, 5:09 PM ET
- Size
- 18.9 KB