Filing Details

Accession Number:
0001179110-11-015015
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-11-09 18:31:29
Reporting Period:
2011-11-08
Filing Date:
2011-11-09
Accepted Time:
2011-11-09 18:31:29
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1324410 Guaranty Bancorp GBNK State Commercial Banks (6022) 412150446
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1197257 Iii M John Eggemeyer 1331 17Th Street, Ste. 345
Denver CO 80202
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Voting Common Stock Acquisiton 2011-11-08 55,800 $1.38 6,537,563 No 4 P Indirect By Castle Creek Capital Partners IV, LP
Voting Common Stock Acquisiton 2011-11-09 16,000 $1.39 6,553,563 No 4 P Indirect By Castle Creek Capital Partners IV, LP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Castle Creek Capital Partners IV, LP
No 4 P Indirect By Castle Creek Capital Partners IV, LP
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Voting Common Stock 276,120 Direct
Voting Common Stock 352,500 Indirect By Self as Trustee of the Eggemeyer Family Trust
Voting Common Stock 13,211 Indirect By Trustees of the GBNK Deferred Compensation Plan
Non-Voting Common Stock 5,095,000 Indirect By Castle Creek Capital Partners IV, LP
Footnotes
  1. Castle Creek Capital IV LLC is the sole general partner of Fund IV. Accordingly, securities owned by Fund IV may be regarded as being beneficially owned by Castle Creek Capital IV LLC. John M. Eggemeyer is a controlling person of Castle Creek Capital IV LLC. Accordingly, securities owned or deemed to be owned by Castle Creek Capital IV LLC may be regarded as being beneficially owned by Mr. Eggemeyer. Mr. Eggemeyer disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.
  2. Represents the right to receive value equivalent to 13,211 shares of the Company's voting common stock under the Company's Deferred Compensation Plan, settlable in shares of the Company's voting common stock.
  3. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.35 to $1.40, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (3) and (4) to this Form 4.
  4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.38 to $1.39, inclusive.