4/A//SEC Filing
Guaranty Financial Group Inc. 4/A
Accession 0001209191-08-008072
CIK 0001406081operating
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 4:21 PM ET
Size
20.6 KB
Accession
0001209191-08-008072
Insider Transaction Report
Form 4/AAmended
DUBUQUE KENNETH R
DirectorPresident and CEO
Transactions
- Tax Payment
Common Stock
2008-02-04$13.82/sh−1,215$16,791→ 42,719 total - Tax Payment
Common Stock
2008-02-01$14.12/sh−486$6,862→ 43,934 total
Holdings
- 8,166
Restricted Stock
→ Common Stock (8,166 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) - 10,000
Restricted Stock
→ Common Stock (10,000 underlying) - 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) - 48(indirect: By Trust)
Common Stock
Footnotes (11)
- [F1]Reporting Person surrendered 486 shares in payment of taxes on restricted stock award that vested effective 02/01/2008 and 1,215 shares in payment of taxes on restricted stock award that vested effective 02/04/2008. Initial Form 4 was timely filed and is amended to accurately reflect the transaction dates and the number of shares surrendered for taxes.
- [F10]Restricted Shares 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 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 - exercise price $5.57: Options Exerciserable 02/07/2007 - 2,666.
- [F5]Options Vesting Schedule - 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 - 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 - 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 - 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 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 typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001406081
Filing Metadata
- Form type
- 4/A
- Filed
- Feb 5, 7:00 PM ET
- Accepted
- Feb 6, 4:21 PM ET
- Size
- 20.6 KB