4//SEC Filing
PRIVATEBANCORP, INC 4
Accession 0001209191-14-057763
CIK 0000889936operating
Filed
Sep 11, 8:00 PM ET
Accepted
Sep 12, 6:27 PM ET
Size
23.6 KB
Accession
0001209191-14-057763
Insider Transaction Report
Form 4
ROCHE COLLIN E
Director10% Owner
Transactions
- Sale
Common Stock
2014-09-10$29.90/sh−8,332$249,127→ 12,205 total(indirect: Held by CO INVEST (as defined)) - Conversion
Common Stock
2014-09-10+8,332→ 20,537 total(indirect: Held by CO INVEST (as defined)) - Conversion
Non-Voting Common Stock
2014-09-10−184,591→ 40,446 total(indirect: Held by Fund IX/B (as defined))→ Common Stock (184,591 underlying) - Conversion
Non-Voting Common Stock
2014-09-10−8,332→ 1,827 total(indirect: Held by CO INVEST (as defined))→ Common Stock (12,504 underlying) - Conversion
Common Stock
2014-09-10+1,107,077→ 2,728,229 total(indirect: Held by Fund IX/A (as defined)) - Conversion
Common Stock
2014-09-10+184,591→ 455,484 total(indirect: Held by Fund IX/B (as defined)) - Sale
Common Stock
2014-09-10$29.90/sh−1,107,077$33,101,602→ 1,621,152 total(indirect: Held by Fund IX/A (as defined)) - Sale
Common Stock
2014-09-10$29.90/sh−184,591$5,519,271→ 270,293 total(indirect: Held by Fund IX/B (as defined)) - Conversion
Non-Voting Common Stock
2014-09-10−1,107,077→ 242,606 total(indirect: Held by Fund IX/A (as defined))→ Common Stock (1,107,077 underlying)
Footnotes (7)
- [F1]The Reporting Person expressly disclaims beneficial ownership of the shares reported in Tables I and II, except to the extent of his pecuniary interest therein. The filing of this form shall not be deemed an admission that the Reporting Person is, for Section 16 purposes or otherwise, the beneficial owner of such shares.
- [F2]GTCR Fund IX/A, L.P. ("Fund IX/A") is the direct beneficial owner of the shares reported in Tables I and II. GTCR Partners IX, L.P. ("GTCR Partners IX") is the sole general partner of Fund IX/A and GTCR Golder Rauner II, L.L.C. ("GTCR") is the sole general partner of GTCR Partners IX. As such, GTCR Partners IX and GTCR may be deemed to be beneficial owners of the shares reported in Tables I and II. GTCR is managed by its members. The Reporting Person is a member of GTCR and partner of GTCR Partners IX and, as a result, has an indirect pecuniary interest in the shares owned by Fund IX/A to the extent of the Reporting Person's indirect proportionate interest in Fund IX/A.
- [F3]GTCR Fund IX/B, L.P. ("Fund IX/B") is the direct beneficial owner of the shares reported in Tables I and II. GTCR Partners IX is the sole general partner of Fund IX/B and GTCR is the sole general partner of GTCR Partners IX. As such, GTCR Partners IX and GTCR may be deemed to be beneficial owners of the shares reported in Tables I and II. GTCR is managed by its members. The Reporting Person is a member of GTCR and partner of GTCR Partners IX and, as a result, has an indirect pecuniary interest in the shares owned by Fund IX/B to the extent of the Reporting Person's indirect proportionate interest in Fund IX/B.
- [F4]GTCR Co-Invest III, L.P. ("CO INVEST") is the direct beneficial owner of the shares reported in Tables I and II. GTCR is the general partner of CO INVEST. GTCR may be deemed to be the beneficial owner of the shares reported in Tables I and II. GTCR is managed by its members. The Reporting Person is a member of GTCR and, as a result, has an indirect pecuniary interest in the shares by CO INVEST to the extent of the Reporting Person's indirect proportionate interest in CO INVEST.
- [F5]Each share of Non-Voting Common Stock is convertible into Common Stock on a one for one basis.
- [F6]The conversion of the Non-Voting Common Stock to Common Stock will be completed in connection with the settlement of the sale of Common Stock.
- [F7]The Non-Voting common Stock is convertible into Common Stock at any time, and has no expiration date.
Documents
Issuer
PRIVATEBANCORP, INC
CIK 0000889936
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000889936
Filing Metadata
- Form type
- 4
- Filed
- Sep 11, 8:00 PM ET
- Accepted
- Sep 12, 6:27 PM ET
- Size
- 23.6 KB